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AxiomSL ControllerView from Calypso Technology (Adenza)
Integrated data management and regulatory reporting platform for brokerages and financial institutions. Provides automated compliance for global and local regulatory regimes (such as SEC, FINRA, MiFID II, EMIR, and others). Features include sophisticated workflow automation, robust audit controls, flexible data aggregation, validation, and regulatory calculation engines.
More about Calypso Technology (Adenza)
Product analysis by function
Regulatory Reporting Solutions for Compliance
Platforms that automate the preparation and submission of required reports to regulatory authorities, ensuring accuracy and timeliness.
More Regulatory Reporting Solutions
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Automated Data Collection
(9 Yes /9 Known /10 Possible features)
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Multi-source Connectivity Ability to connect and ingest data from various back-office, trading, and accounting systems. |
AxiomSL ControllerView advertises connectivity with various back-office, trading, and accounting systems for automated data ingestion. | |
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Real-time Data Sync Synchronize data feeds with minimal latency for up-to-date reporting. |
No information available | |
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Data Validation Rules Built-in logic to check data accuracy and completeness before report generation. |
The product emphasizes robust data validation as part of its regulatory reporting workflow. | |
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Data Normalization Standardize and reconcile differing data formats for consistent processing. |
AxiomSL highlights normalization of multiple data sources as a key capability for regulatory data consistency. | |
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Audit Trail for Data Changes Track every data modification for compliance reviews and troubleshooting. |
Product documentation refers to full audit trails tracking data changes for compliance. | |
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Bulk Data Import & Export Support for batch processing of large data sets. |
Bulk/batch data import/export is a listed capability, supporting large-scale regulatory data. | |
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Metadata Tagging Assign metadata to reportable items for easier querying and classification. |
Allows assigning metadata for items, aiding classification/reporting per regulatory requirements. | |
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Secure Data Transfer Encrypt data in transit and at rest when collecting from external/internal systems. |
The solution meets financial industry requirements for encryption for data in transit and at rest. | |
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Historical Data Access Capability to retrieve and report on previous periods’ data for amendments or resubmissions. |
Historical data access and reporting are core features, especially for amendments/resubmissions. | |
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Automated Data Error Alerts Triggers notifications to appropriate personnel upon data discrepancies. |
Automated data error/exception alerts are supported to ensure compliance before submission. |
Report Generation & Customization
(9 Yes /9 Known /10 Possible features)
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Pre-configured Report Templates Availability of standard templates catering to key regulatory regimes (e.g., SEC, FINRA, ESMA, MiFID II). |
Pre-configured templates for global regulations (SEC, FINRA, MiFID II, EMIR, etc.) are included. | |
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Custom Report Builder Tools for users to create and save custom report layouts. |
Provides custom report builder tools for user-defined layouts. | |
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Multi-lingual and Multi-jurisdictional Support Create reports that comply with different regions’ language and format requirements. |
Supports reporting in various jurisdictions and languages to meet global regulatory requirements. | |
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Template Version Control Track edits to report templates and maintain version histories. |
Supports version control of report templates to maintain audit trails. | |
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Flexible Output Formats Generate reports in common formats (PDF, XLSX, XML, XBRL, CSV, etc.). |
Generates compliance reports in PDF, Excel, XML, XBRL, and other formats. | |
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Built-in Documentation Guidance Inline links to regulatory rulebooks and context-sensitive help. |
No information available | |
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Scheduled Report Generation Support for automating recurring report creation on a fixed schedule. |
Automated scheduling of recurring regulatory report generation is a standard workflow feature. | |
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Conditional Formatting Highlight fields or sections based on thresholds or logic. |
Conditional formatting supported to highlight fields/sections based on compliance rules or logic. | |
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Cross-report Referencing Easily link and reference data between different reporting outputs. |
Allows cross-report data referencing to improve traceability and accuracy. | |
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Ad-hoc Reporting Tools for spontaneous, on-demand reporting beyond pre-defined templates. |
Ad-hoc, on-demand reporting tools are offered for regulatory and management requests. |
Automated Submission & Filing
(10 Yes /10 Known /10 Possible features)
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Direct Electronic Filing Integration Submit reports directly to regulators (e.g. FINRA Gateway, EMIR, SEC EDGAR) via secure APIs. |
Direct submission via APIs to regulator portals (e.g., FINRA, EMIR, SEC EDGAR) is described in capabilities. | |
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Submission Scheduling Automated workflows to submit reports by due dates, with configurable timing. |
Automated submission scheduling based on regulatory deadlines is supported. | |
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Submission Status Tracking Automatically track acknowledgment, rejection, and feedback from regulators. |
Tracks submission status, including acknowledgment and feedback from regulatory bodies. | |
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Multi-channel Filing Support Capability to file via APIs, SFTP, web uploads, or email. |
Supports multiple filing channels, including API, SFTP, and web portals. | |
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Resubmission Handling Automated management for rejected or corrected files. |
Automated handling and management of resubmissions following regulatory rejection is offered. | |
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Submission Confirmation Receipts Automated storing and alerting for successful receipts from regulators. |
Stores submission confirmation receipts automatically for compliance and audit. | |
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Automatic Time Zone Adjustment Ensure timing compliance across global regulatory deadlines. |
System accommodates time zone adjustment to meet regulatory regimes in multiple jurisdictions. | |
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Batch Filing Send multiple reports in a single operation. |
Batch filing—sending multiple reports in a single operation—is supported per documentation. | |
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Submission Audit Log Maintain a history of all filings and statuses. |
Submission audit log—tracking all filings and statuses—listed as a compliance reporting control. | |
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Submission Encryption and Security Protect reports during filing via encryption and secure transport. |
All regulatory submissions are encrypted according to industry standards. |
Compliance Rule Management
(9 Yes /9 Known /10 Possible features)
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Dynamic Rule Engine Configurable logic engine for defining current and evolving compliance requirements. |
AxiomSL ControllerView natively offers a dynamic rule engine for configurable compliance requirements. | |
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Regulatory Update Feeds Automatic import of new rules or changes from authoritative sources. |
Product provides automatic regulatory update feeds from authoritative sources to keep controls current. | |
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Gap Analysis Tools Identify where processes or data fail to meet regulatory standards. |
Includes gap analysis tools to identify reporting deficiencies vs. target regulatory obligations. | |
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Automated Testing and Simulation Run simulated reporting scenarios to gauge rule adherence. |
Simulated test environments for regulatory reporting are supported. | |
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Exception Identification Flags and logs when data or processes breach compliance logic. |
Exception identification and alerting are presented as compliance controls. | |
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Customizable Rule Parameters Users can adjust thresholds, triggers, or definitions as rules change. |
Customization of rule parameters and thresholds is a documented feature. | |
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Rule Version Control Maintains historical views on rule changes and their effective dates. |
Maintains history of rules and their effective dates; supports audit requirements. | |
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Peer Benchmarking Compare compliance metrics to industry benchmarks for best practices. |
No information available | |
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Regulatory Change Alerts Proactive notifications about legal or regulatory amendments. |
Sends alerts about relevant regulatory changes to users. | |
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Multi-regime Support Manage and apply rules from different regulatory bodies simultaneously. |
Can manage compliance for overlapping rules from multiple global regulators. |
User Access & Workflow Control
(3 Yes /3 Known /10 Possible features)
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Role-based Access Control Define granular permissions for viewing, editing, and submitting reports. |
Granular, role-based permissions are available for all user interactions. | |
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Multi-level Approval Workflows Design workflows with several review or sign-off stages for quality assurance. |
Multi-stage approval processes are supported, ensuring data quality and compliance. | |
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User Action Audit Trails Record all actions taken on reports and the responsible users. |
Tracks and logs all user actions, supporting regulatory/IT audits. | |
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Delegation and Proxy Rights Temporary assignment of reporting responsibilities during absences. |
No information available | |
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Separation of Duties Enforcement Prevent conflicts of interest or fraud through process design. |
No information available | |
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Single Sign-On (SSO) Integrate user authentication with enterprise identity providers. |
No information available | |
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Access Expiry and Time-bound Permissions Automatically revoke temporary or project-based access rights. |
No information available | |
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Commenting & Annotation Enable reviewers to discuss or flag report sections. |
No information available | |
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Workflow Automation Triggers Initiate escalation or notification chains based on workflow status. |
No information available | |
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Configurable Approval Hierarchies Set rules for escalating reports to more senior reviewers as needed. |
No information available |
Validation, Verification, and Reconciliation
(10 Yes /10 Known /10 Possible features)
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Automated Data Reconciliation Compare reported values to primary records for completeness and correctness. |
Automated data reconciliation to source systems is key part of data integrity controls. | |
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Multi-level Data Validation Checks Run configurable validation layers prior to submission. |
Supports multiple validation steps, in-line with regulatory best practices. | |
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Anomaly Detection Identify data outliers that might signal errors or fraudulent activity. |
Anomaly/outlier detection mechanisms are standard for regulatory assurance. | |
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Reconciliation Reporting Generate summary and detailed reports of reconciliation status. |
Reconciliation status and summary/detailed reporting are available. | |
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Variance Threshold Configuration Set tolerances for acceptable deviations in reported figures. |
Allows configuration of variance thresholds per regulatory or organizational tolerances. | |
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Reconciliation Exception Handling Automatically flag and record unresolved discrepancies. |
Flags/records reconciliation exceptions for further review; support for issue handling. | |
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Historical Comparison Tools Detect substantial shifts in reported figures compared to previous periods. |
Provides comparison tools for current vs. historical data submissions. | |
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Third-party Reconciliation Integration Integrate with custodians, exchanges, or CCPs for third-party verifications. |
Can integrate with third-party custodians/exchanges for data verification. | |
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Automated Certifier Assignment Route unresolved exceptions to appointed users for final approval. |
Routes unresolved exceptions to appropriate users per workflow design. | |
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Parallel Processing Capabilities Run reconciliation/verifications for high data volumes simultaneously. |
Designed for parallel processing of large volumes, as required for global financial institutions. |
Audit, Logging & Traceability
(4 Yes /4 Known /10 Possible features)
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Comprehensive Audit Trails Log all user actions, data changes, system events, and submissions. |
Comprehensive audit trails, central to regulatory compliance, are fully logged. | |
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Immutable Log Records Protect logs from unauthorized modification or deletion. |
Audit records are protected and cannot be modified or deleted, supporting compliance. | |
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Time-stamped Records Apply secure time stamps to all audit entries. |
No information available | |
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Log Retention Policy Controls Configurable, compliance-aligned retention and deletion schedules. |
Log retention policies are configurable to meet various regulatory retention requirements. | |
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Audit Export Tools Easily export logs for third-party auditors or regulators. |
Audit information can be exported to third-party auditors/regulators as required. | |
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Searchable Audit History Advanced filtering/search tools to quickly find log entries. |
No information available | |
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Automated Tamper Detection Alerting or locking of logs upon suspicious activity. |
No information available | |
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External Audit Interface Designated portal or access methods for external audit reviews. |
No information available | |
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Change Impact Reports Summarize the impact of system/process changes over time. |
No information available | |
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Integration with SIEM/SOC Tools Interoperate with security incident monitoring systems. |
No information available |
Security & Data Privacy
(10 Yes /10 Known /10 Possible features)
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End-to-end Data Encryption Encrypt data both at rest and during transmission. |
Supports end-to-end encryption, both in transit and at rest. | |
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Multi-factor Authentication (MFA) Require multiple identity verifications for high-risk actions. |
Multi-factor authentication is a standard security feature for high-sensitivity operations. | |
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Granular Permission Controls Limit visibility and editability of reports, fields, and workflows. |
Granular permissions are available for field-level/report-level access control. | |
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Automated Data Masking Redact personally identifiable information for non-authorized users. |
Data masking of PII for non-authorized users, supporting privacy regulations. | |
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Intrusion Detection & Alerting Monitor for and alert on unauthorized access or suspicious activity. |
Intrusion detection and alerting are included for regulatory-class solutions. | |
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Security Patch Management Automated checks and deployments of security updates. |
Security patch updates are managed as part of the platform service. | |
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Vulnerability Scanning Regular scans of the solution for potential security weaknesses. |
Regular vulnerability scans to identify/mitigate any potential threats. | |
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GDPR/CCPA Readiness Design features with global data privacy requirements in mind. |
Solution is built with privacy laws such as GDPR and CCPA in mind. | |
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Incident Response Plan Integration Links security alerts to broader enterprise incident management processes. |
Incident response plan integration is available for enterprise risk management. | |
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User Session Timeout/Lockout Controls Auto-logout after periods of inactivity. |
Session timeout and auto-lockout for inactivity are present to ensure security. |
Scalability, Performance & Availability
(6 Yes /6 Known /10 Possible features)
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Concurrent User Support Number of users who can actively operate the system at once. |
No information available | |
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Report Generation Speed Average time taken to produce a standard compliance report. |
No information available | |
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High Availability Failover Resilient infrastructure with instant failover in event of primary system failure. |
High-availability infrastructure with system failover is described for mission-critical reporting. | |
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Disaster Recovery RPO/RTO Maximum tolerable period for data loss and restoration time following a failure. |
undefined Disaster recovery RPO/RTO targets are stated for the hosted/managed version. |
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Load Balancing Distribute processing tasks over multiple nodes/servers. |
Load balancing to handle multiple clients and large data submits in parallel. | |
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Elastic Resource Scaling Dynamically add or remove computation/storage capacity as usage demands. |
Dynamically allocates resources to scale with number of reports/clients. | |
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Uptime SLA Percentage of time the system is guaranteed to be operational. |
No information available | |
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Large Data Volume Support System’s tested maximum data processing size per reporting cycle. |
undefined Proven support for large enterprise-scale data volumes per cycle is cited in enterprise banking deployments. |
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API Rate Limiting Maximum number of API requests permitted per time unit. |
No information available | |
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Multi-tenant Isolation Logical isolation between different client/system environments. |
Supports multi-tenant environments, with logical data separation. |
Integration & Interoperability
(10 Yes /10 Known /10 Possible features)
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Open API Availability Publicly documented APIs for extensible integrations. |
Supports open APIs for system integrations per product documentation. | |
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Standard Data Format Support Import/export in regulatory or industry standards (FIX, ISO 20022, XBRL, CSV, etc.). |
Can import/export in standard regulatory/industry formats: XBRL, CSV, ISO 20022, etc. | |
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Plug-in Architecture Add new modules with minimal development effort. |
Architecture supports plug-ins/modules for new functionality. | |
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Outbound Webhook Support Trigger external workflows or third-party downstream systems. |
Outbound webhooks and integrations are described for downstream processes. | |
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Pre-built Integrations Native affordances for connecting with major core brokerage/financial/CRM platforms. |
Pre-built integrations for major financial platforms/brokerage/CRM systems are available. | |
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Legacy System Compatibility Data and process integration with older or on-premise systems. |
Supports integration with legacy/on-premise systems for broader compatibility. | |
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API Security (e.g. OAuth2, mTLS) Adherence to industry-standard secure authentication and encryption in API calls. |
API calls use OAuth2/mTLS for secure authentication and encryption. | |
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File Transfer Protocol Support SFTP, FTPS, and similar protocols for batch data movement. |
Supports SFTP/FTPS and similar batch transfer protocols. | |
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Data Mapping Tools Graphical UIs or scriptable tools for mapping and transforming data fields. |
Data mapping and transformation tools are included for onboarding and maintenance. | |
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Extensible Web Services SOAP/RESTful web services for custom integrations. |
Web services for custom integration (SOAP/RESTful) are supported. |
Usability, Support & Maintainability
(10 Yes /10 Known /10 Possible features)
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Intuitive User Interface Accessible, clearly organized screens and workflows. |
Product is known for a modern, intuitive interface for regulatory teams. | |
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Contextual Help and Guides Embedded instructions, tool-tips, and support for business processes. |
In-product guides and contextual help are part of the user experience. | |
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Self-service Administration Non-technical users can configure key solution features without vendor support. |
Self-service admin available to allow business users to configure solution features. | |
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Automated Software Updates Receive and apply new releases with minimal manual intervention. |
Automated software releases and updates are available for the managed/hosted version. | |
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24/7 Vendor Support Access to technical and regulatory experts at any time. |
24/7 global support is available as a regulated industry requirement. | |
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In-product Feedback Mechanism Users can report issues or suggest features directly in the application. |
Product offers direct feedback mechanisms inside the application interface. | |
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Customizable Dashboards User or team-specific homepages summarizing KPIs and exceptions. |
Customizable dashboards for KPIs and compliance tracking are available. | |
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Training & Onboarding Programs Comprehensive learning resources and workshops for new users. |
Structured training and onboarding programs for enterprise rollouts are offered. | |
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Performance Monitoring Tools Dashboards for technical health and issue detection. |
Performance and technical monitoring dashboards are part of the support structure. | |
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Multi-device Access Full functionality on desktop, tablet, and mobile devices. |
Can be accessed on desktop & mobile (browser-based or app version as per documentation). |
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