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Diligent HighBond (formerly Galvanize HighBond) from Diligent Corporation
Unifies audit, risk, and compliance activities. Includes detailed, tamper-proof audit trails of every system event, evidence management, analytics, and custom workflows optimized for financial advisory compliance.
More about Diligent Corporation
Product analysis by function
Audit Trail Systems for Compliance and Risk Management
Software that maintains comprehensive records of all client interactions, recommendations made, and the basis for those recommendations to demonstrate compliance with fiduciary or suitability standards.
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Data Capture & Recordkeeping
(8 Yes /8 Known /10 Possible features)
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Comprehensive Interaction Logging Records all types of client interactions (email, call, in-person, digital). |
HighBond records all system events and interactions for compliance—detailed audit trail suitable for logging various client interactions. | |
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Automatic Timestamping Captures exact date and time of every change or entry. |
Documentation highlights exact timestamping for every auditable event. | |
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Document Attachment Support Allows the secure upload and association of supporting documents with audit entries. |
Evidence management supports secure document uploads associated with audit entries. | |
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Editable Notes Ability to add and update advisor notes for context while maintaining previous versions. |
Advisors can update/add notes, and system retains version history. | |
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Change Log/Version History Keeps a record of all data modifications with before/after state. |
Comprehensive version history/change log is a core feature of audit modules. | |
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Immutable Ledger Ensures records cannot be altered or deleted after entry for audit integrity. |
Audit trail is tamper-evident/immutable by design for regulatory purposes. | |
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Volume Capacity Maximum number of records or interactions system can reliably store per year. |
No information available | |
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Data Retention Period Length of time records are retained according to regulatory guidelines. |
No information available | |
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Bulk Import/Export Supports mass upload and export of records for migration or backup. |
Bulk import/export capabilities are mentioned in migration/backup documentation. | |
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Multimedia Storage Ability to store audio, video, and multimedia communications as part of the audit trail. |
Evidence module supports multimedia (audio, image, video) for audit trails. |
Search, Retrieval & Reporting
(8 Yes /8 Known /10 Possible features)
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Advanced Search Robust filters (date, client, advisor, event type, etc.) for quickly finding records. |
Advanced search features (filters, queries) are highlighted in product materials. | |
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Customizable Reporting Build and export tailored reports for compliance reviews, audits, and investigations. |
Users can build and export tailored reports for audits/reviews. | |
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Audit Trail Visualization Timeline or graphic visualization of client-interaction histories. |
Audit trails visualized in timelines/graphic dashboards per documentation. | |
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Export Formats Available formats for exporting data (CSV, PDF, Excel, etc.). |
No information available | |
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Saved Reports Ability to save and schedule common audit reports. |
Feature to save and schedule audit/compliance reports is available. | |
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Role-based Data Access Limits report/data access based on user role/permissions. |
Role-based data access and permissions are emphasized for security. | |
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Time to Retrieve Record Average time to access a record from search to display. |
No information available | |
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Bulk Data Extraction Allows mass export of historical audit trails for regulatory requests. |
Bulk historical audit data export for regulatory purposes is documented. | |
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Keyword Tagging/Search Tag records for easier retrieval using user-defined keywords. |
Keyword tagging and search supported for easier audit record retrieval. | |
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Full-Text Search Scans attached documents and notes for keywords/phrases. |
Full-text search for notes and document content included. |
Security & Access Control
(9 Yes /9 Known /10 Possible features)
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User Authentication Enforces secure user logins and multifactor authentication. |
Secure user authentication and support for SSO/MFA is highlighted. | |
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Role-Based Permissions Granular control over who can access, view, edit, or export audit records. |
Granular role-based permissions are core to system configuration. | |
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Encryption at Rest All records are encrypted when stored on disk. |
All stored data is encrypted at rest as part of security compliance. | |
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Encryption in Transit Data is always encrypted during network transmission. |
Encryption in transit (TLS/SSL) across all endpoints. | |
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Audit Log of Access Fully logs which users access which records and when. |
Audit log includes user access events for each record. | |
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Session Timeout Sessions auto-expire after set period of inactivity. |
Customizable session timeout is part of standard security settings. | |
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Failed Login Alerts Notifies administrators of repeated login failures or suspicious access. |
Suspicious login alerts are available for administrators. | |
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Granular Field Masking Sensitive fields (SSN, addresses, etc.) are masked unless explicitly permitted. |
Sensitive-field masking is configurable for compliance data models. | |
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User Password Policy Controls Configure password complexity and refresh requirements. |
Password policy controls for complexity and refresh are configurable. | |
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Number of Permission Levels How many roles or permission profiles can be configured. |
No information available |
Regulatory Compliance Support
(8 Yes /8 Known /10 Possible features)
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Pre-Configured Compliance Templates Built-in reporting and workflows for key financial regulations. |
Pre-configured compliance templates for SOX, GDPR, and similar regulations. | |
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Custom Policy Rule Engine Allow firms to define customized compliance triggers and alerts. |
Custom policy rules and alert engine for audit and compliance workflows. | |
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Audit Readiness Dashboard Central view of compliance status with outstanding tasks/deficiencies. |
Central dashboard for compliance status and audit readiness. | |
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Regulatory Change Updates System updates templates/processes in response to new regulations. |
No information available | |
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Automated Exception Alerts Notifies users about entries/actions requiring special compliance attention. |
Notifies users of policy exceptions and actions requiring compliance attention. | |
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Custom Compliance Reports Flexible reporting to demonstrate compliance with local/global rules. |
System enables custom compliance reporting options. | |
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E-Signature Compliance Supports legally recognized e-signatures for documentation. |
Evidence management workflows support e-signature compliance where required. | |
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Policy and Forms Repository Centralized location for latest firm/industry policies and forms. |
Policy and forms repository included for reference and version control. | |
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Automated Retention Policy Enforcement Automatically deletes or archives records as required by law. |
Retention management automates archiving and purging per policy. | |
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Regulatory Export Formats Supported Number of regulatory-mandated export types available. |
No information available |
Integration & Interoperability
(9 Yes /9 Known /10 Possible features)
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API Availability Robust APIs for retrieving and pushing audit data programmatically. |
Comprehensive REST APIs described in vendor documentation. | |
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Integration with Core Systems Pre-built connectors for CRMs, portfolio management, and trading platforms. |
Product integrates with core business and risk systems, including CRM. | |
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Email System Integration Automatically captures advisor-client communications from email systems. |
Supports email integration for ingesting advisor-client communications. | |
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Document Management Integration Links with digital document vaults and e-signature platforms. |
Integrates with digital document/vault & e-signature tools as per documentation. | |
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Calendar/Task Integration Syncs audit trail activities with advisor calendars and task lists. |
Calendar and task list integration indicated in workflow management modules. | |
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Webhook/Notification Integration Triggers external notifications or workflows based on audit trail events. |
Supports webhook/notification integrations for triggering external workflows. | |
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Third-Party SaaS Connections Number of officially supported cloud/SaaS tools for integration. |
No information available | |
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Mobile App Integration Audit access from mobile CRMs or compliance apps. |
Mobile app integration is available for accessing audit functionalities. | |
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Real-Time Data Sync Synchronizes audit records across systems in real time. |
Product supports real-time data sync across modules and systems. | |
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Custom Integration Support Allows custom-built connectors for proprietary systems. |
Custom-built system integrators described for proprietary systems. |
Scalability & Performance
(6 Yes /6 Known /10 Possible features)
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Max Concurrent Users Number of users who can access the audit system simultaneously. |
No information available | |
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System Uptime SLA Guaranteed uptime for the service infrastructure. |
No information available | |
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Processing Speed Average time taken to save and retrieve audit records. |
No information available | |
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Failover/Disaster Recovery Redundancy and recovery systems to minimize data loss/outage. |
Highly available with backup/disaster recovery as a core trust feature. | |
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Multi-Region Support Ability to host audit data in multiple jurisdictions/regions. |
Supports multi-region hosting for global organizations. | |
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On-Premises & Cloud Options Choice of deployment models to match firm requirements. |
On-prem and cloud deployment options are documented. | |
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Data Archiving Capacity Maximum size of historical data system can archive efficiently. |
No information available | |
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Scalable Storage Storage expands automatically as audit volumes grow. |
Cloud-based storage scales dynamically with growth, described in product offering. | |
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Load Balancing Automatically manages traffic to maintain system responsiveness under load. |
Product documentation lists automatic load balancing among features. | |
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Performance Monitoring Alerts Automatic warnings when system performance degrades. |
System issues performance alerts on slowdowns or errors. |
User Experience & Interface
(7 Yes /7 Known /10 Possible features)
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Intuitive Dashboard User-friendly main interface summarizing key audit activities and tasks. |
Modern, user-friendly dashboard part of overall user experience. | |
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Customizable Views Users can tailor visible fields, columns, or layouts to fit preferences. |
Users can customize dashboards, fields, and views for their needs. | |
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Multi-Language Support Interfaces and help content available in multiple languages. |
No information available | |
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Accessibility Compliance Meets ADA/WCAG accessibility standards for users with disabilities. |
Vendor states platform aims for accessibility compliance (WCAG/ADA). | |
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Mobile Responsiveness Optimized for desktop, tablet, and smartphone use. |
Web/mobile UIs are fully responsive for all device types. | |
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Contextual Help/Hints In-app guidance and definitions for features and fields. |
In-app guides and support hints are described in user success materials. | |
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Theme Customization Selectable color schemes and branding for firm customization. |
Theme/color branding customization supported for enterprise clients. | |
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Search Autocomplete Predictive suggestions while typing in search fields. |
No information available | |
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Quick Entry Templates Pre-set forms or templates for faster record input. |
No information available | |
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Drilldown Navigation Click-through from summary to detail with minimal steps. |
Drilldown navigation from overview to detailed data is documented. |
Notifications, Alerts & Workflow Automation
(8 Yes /8 Known /10 Possible features)
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Custom Alert Triggers Define rules for sending alerts when certain events occur in the audit trail. |
Compliance alerts, custom rule triggers available in workflow engine. | |
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Automated Task Assignment Assign follow-ups or compliance tasks from audit entries. |
Automatically assigns follow-up/compliance tasks based on audit events. | |
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Escalation Notifications Escalates unaddressed compliance risks to management after defined time. |
Escalation workflows for unaddressed risks are configurable. | |
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User Notification Channel Options Email, SMS, in-app, and push notification options. |
No information available | |
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Calendar Reminders Allows automatic creation of calendar events for compliance review. |
Calendar reminder feature integrated for compliance review activities. | |
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Workflow Builder Visual interface to design custom workflows for audit data handling. |
Visual workflow builder available for custom audit processes. | |
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Template-Based Workflows Pre-built workflow templates for standard compliance tasks. |
Standard templates for basic compliance workflows are included. | |
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Approval Routing Routes audit records for multi-level review/approval. |
Supports multi-level approval routing in workflows. | |
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Real-Time Status Updates Instant notifications of audit data status changes. |
System delivers real-time status updates of audit data changes. | |
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Event Frequency Limits Limits on how often users receive repeat notifications. |
No information available |
Audit & Investigation Tools
(10 Yes /10 Known /10 Possible features)
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Forensic Record Lockdown Freezes selected records to prevent alteration during investigation. |
Legal and forensic lockdown during investigation is a supported feature. | |
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Anomaly Detection Flags unusual patterns or outliers in audit data (frequency, volume, timing). |
Anomaly detection (analytics) is a core offering for risk/audit purposes. | |
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Activity Timeline Reconstruction Automatically builds chronological timelines for specific users or clients. |
Chronological timeline reconstruction of user activity is documented. | |
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Redaction Tools Safely redact sensitive information from exported audit records. |
Redaction tools available for controlled exports and regulatory needs. | |
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Automated Sampling Generates random record samples for compliance spot checks. |
System can generate random audit samples for quality/compliance reviews. | |
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Investigation Case Management Organizes and tracks the progress of multiple investigations. |
Full investigation and case management embedded in platform. | |
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Audit Evidence Linking Associates supporting evidence files with investigation cases. |
Audit evidence can be linked to cases/entries for full traceability. | |
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Incomplete/Inactive Record Identification Flags records missing information or inactive beyond thresholds. |
System flags incomplete/inactive records for investigation. | |
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Export with Legal Hold Prevents deletion/alteration of exported files under legal hold. |
Legal hold functionality available for exported audit records. | |
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Chain-of-Custody Tracking Maintains and displays complete handling history for all records under investigation. |
Chain-of-custody for evidence and audit records is a stated feature. |
Customization & Extensibility
(6 Yes /6 Known /10 Possible features)
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Custom Field Creation Organizations can add their own data fields to the audit schema. |
Custom fields supported—organizational schema extensibility. | |
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Form/Template Builder Drag-and-drop interface for building new entry forms and templates. |
Form/template builder with drag-and-drop documented for audit entries. | |
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Scriptable Actions Develop custom scripts triggered by audit events. |
No information available | |
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Custom Branding Upload logos, firm colors, and themes. |
Custom branding (logo/colors) for enterprise clients is mentioned. | |
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Localization Support Adapt layouts and content for global offices. |
Localization (region/language) support available. | |
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Plug-In Architecture Extend system with custom developed plug-ins or modules. |
No information available | |
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Number of Custom Fields Allowed Maximum number of additional fields per record. |
No information available | |
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User Role Flexibility Define and manage custom user roles beyond defaults. |
User role creation and flexible management described for admin panel. | |
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Workflow Customization Depth Level of complexity supported in custom workflow automation. |
No information available | |
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Developer Documentation Comprehensive guides, SDKs, and code samples for extensibility. |
Developer documentation and APIs described for extensibility. |
Support, Training & Vendor Reliability
(8 Yes /8 Known /10 Possible features)
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24/7 Support Availability Access to technical and product support around the clock. |
24/7 enterprise support is a selling point in Diligent's offerings. | |
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Onboarding Assistance Step-by-step guidance for implementation and user training. |
Onboarding and user training is provided for all implementations. | |
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Online Knowledge Base Comprehensive library of guides, FAQs, and troubleshooting tips. |
Online knowledge base/library available for user self-training. | |
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Live Training Sessions Regularly scheduled or ad hoc live web training for users. |
Live (and recorded) training sessions regularly offered. | |
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Certification Programs Official user or admin certification offered. |
Certification programs for admins/users are available. | |
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Multi-Language Support Support and help materials available in multiple languages. |
No information available | |
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Release Notes & Roadmap Visibility Clear communication of changes, bug fixes, and product plans. |
Release notes, changelogs, and roadmap visibility are publicly posted. | |
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Outage Communication Protocol Proactive notification of downtime or major system issues. |
Outage/system incident notifications are part of vendor communications. | |
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Customer Success Manager Dedicated success representative for large accounts. |
Dedicated Customer Success Managers for enterprise/large accounts. | |
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Average Support Response Time Average time to first response for a new support ticket. |
No information available |
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