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ComplySci Platform from ComplySci

Employee compliance management, personal trading monitoring, gifts and entertainment tracking, outside business activities tracking, compliance calendars, and code of ethics management for financial advisors.

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Product analysis by function

Regulatory Compliance Systems for Compliance and Risk Management

Platforms that track changing regulations, automate compliance workflows, manage required disclosures, and ensure advisors meet regulatory obligations from bodies like the SEC, FINRA, and state regulators.
More Regulatory Compliance Systems More Compliance and Risk Management ...

Regulatory Coverage
(2 Yes /3 Known /11 Possible features)

Workflow Automation
(4 Yes /4 Known /11 Possible features)

Disclosure and Documentation Management
(5 Yes /5 Known /11 Possible features)

Compliance Monitoring
(2 Yes /2 Known /11 Possible features)

Audit and Reporting
(0 Yes /0 Known /11 Possible features)

Integration and Interoperability
(1 Yes /1 Known /11 Possible features)

User Access and Permissions
(1 Yes /1 Known /11 Possible features)

Data Security and Privacy
(2 Yes /2 Known /11 Possible features)

User Experience and Adoption
(3 Yes /3 Known /11 Possible features)

Risk Assessment and Management
(2 Yes /2 Known /11 Possible features)

Support and Vendor Reliability
(2 Yes /2 Known /11 Possible features)

Advisor Supervision Systems for Compliance and Risk Management

Solutions for supervising advisor activities, reviewing client communications, monitoring outside business activities, and ensuring adherence to firm policies and regulatory requirements.
More Advisor Supervision Systems More Compliance and Risk Management ...

Advisor Activity Monitoring
(7 Yes /7 Known /10 Possible features)

Client Communication Supervision
(6 Yes /6 Known /10 Possible features)

Trade and Transaction Supervision
(7 Yes /7 Known /10 Possible features)

Outside Business Activity (OBA) Monitoring
(6 Yes /6 Known /10 Possible features)

Policy Management
(6 Yes /6 Known /10 Possible features)

Surveillance & Alerting
(6 Yes /6 Known /10 Possible features)

Case Management & Investigation Tools
(6 Yes /6 Known /10 Possible features)

Reporting & Analytics
(9 Yes /9 Known /10 Possible features)

Regulatory Compliance Adaptability
(4 Yes /4 Known /10 Possible features)

System Security & Privacy Controls
(8 Yes /8 Known /10 Possible features)

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.
More Audit Trail Systems More Compliance and Risk Management ...

Data Capture & Recordkeeping
(6 Yes /6 Known /10 Possible features)

Search, Retrieval & Reporting
(6 Yes /6 Known /10 Possible features)

Security & Access Control
(7 Yes /7 Known /10 Possible features)

Regulatory Compliance Support
(7 Yes /7 Known /10 Possible features)

Integration & Interoperability
(6 Yes /6 Known /10 Possible features)

Scalability & Performance
(3 Yes /3 Known /10 Possible features)

User Experience & Interface
(4 Yes /4 Known /10 Possible features)

Notifications, Alerts & Workflow Automation
(7 Yes /7 Known /10 Possible features)

Audit & Investigation Tools
(5 Yes /5 Known /10 Possible features)

Customization & Extensibility
(4 Yes /4 Known /10 Possible features)

Support, Training & Vendor Reliability
(7 Yes /7 Known /10 Possible features)

Policy Management Platforms for Compliance

Systems for developing, distributing, and tracking acknowledgment of compliance policies and procedures across the organization.
More Policy Management Platforms More Compliance ...

Policy Creation & Editing
(6 Yes /6 Known /12 Possible features)

Policy Distribution & Communication
(7 Yes /7 Known /10 Possible features)

Acknowledgment & Attestation Tracking
(5 Yes /5 Known /9 Possible features)

Audit & Reporting
(4 Yes /4 Known /9 Possible features)

User Management & Access Control
(3 Yes /3 Known /9 Possible features)

Integrations & APIs
(3 Yes /3 Known /8 Possible features)

Security & Data Protection
(4 Yes /4 Known /8 Possible features)

Search & Retrieval
(2 Yes /2 Known /7 Possible features)

Mobile & Remote Access
(1 Yes /1 Known /7 Possible features)

User Experience & Accessibility
(1 Yes /1 Known /7 Possible features)

Scalability & Performance
(3 Yes /3 Known /7 Possible features)

Audit Trail and Record-Keeping Systems for Compliance

Solutions that maintain comprehensive records of all transactions, client interactions, and compliance activities for regulatory examinations and investigations.
More Audit Trail and Record-Keeping Systems More Compliance ...

Data Capture & Transaction Logging
(8 Yes /8 Known /15 Possible features)

Access Controls & Security
(9 Yes /9 Known /15 Possible features)

Regulatory Compliance Support
(5 Yes /5 Known /15 Possible features)

Scalability & Performance
(3 Yes /3 Known /15 Possible features)

Reporting & Analytics
(6 Yes /6 Known /15 Possible features)

Data Integrity & Authenticity
(6 Yes /6 Known /15 Possible features)

Audit Retrieval & Search
(8 Yes /8 Known /15 Possible features)

Client Communication & Interaction Logging
(7 Yes /7 Known /15 Possible features)

User Experience & Administration
(8 Yes /8 Known /15 Possible features)

Integration & Interoperability
(3 Yes /3 Known /15 Possible features)

Disaster Recovery & Business Continuity
(3 Yes /3 Known /15 Possible features)

Audit Trail Extensibility & Customization
(11 Yes /11 Known /15 Possible features)

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Jurisdictional Support Ability to support regulations across multiple US states and federal bodies.		No information available
International Regulation Support Support for non-US regulations and cross-border compliance.		Not as far as we are aware.* Positioned primarily as a US-focused compliance solution. Website and docs do not mention international regulation or GDPR/EMEA support.
Real-Time Regulatory Updates The system provides real-time updates when regulations change.		Marketing claims 'timely updates to regulatory rules and watchlists', so real-time or near real-time alerts are present for regulatory updates.
Custom Rule Mapping Ability to create or modify mappings to custom company-specific compliance policies.		No information available
Regulation Database Size Number of distinct regulatory statutes/rules tracked.		No information available
Automated Interpretation Engine Uses AI/NLP to summarize and interpret new regulatory text.		No information available
Rule Version Tracking Tracks historical versions of regulations for comparison and audit.		Supports historical rule version logs for audit and comparison according to product overview.
Exception Handling Detects, flags, and manages edge cases and exceptions in applicable regulation.		No information available
Audit Trail for Regulatory Updates Maintains a historical log of all regulatory content updates and interpretations.		No information available
Regulatory Library Export Capability Ability to export all regulatory content for offline analysis.		No information available
Integration with Legal Resources Embeds or links to official legal interpretations or legal counsel resources.		No information available

Automated Disclosure Generation Automatically generates required client disclosures according to regulatory guidelines.		Automated alerts and workflows include disclosure document generation; product sheets mention automated ADV/PTE 2020-02, code of ethics, etc.
Approval Routing Enables workflow-based routing for approvals and sign-offs on compliance items.		No information available
Task Assignment Automation Automatically assigns compliance tasks to relevant parties based on roles, locations, or other rules.		No information available
Workflow Customization Ability to design and modify custom compliance workflows.		Workflow customization is listed as a feature and a key selling point for managing compliance processes.
Escalation Triggers Automatically escalates issues or breaches to compliance officers and key stakeholders.		No information available
Compliance Calendar Management Tracks and automates key dates and deadlines for compliance actions.		Compliance calendar and task management are core to the platform as per product summary.
Automated Notifications System sends alerts and reminders for upcoming or overdue compliance actions.		Automatic reminders and alerts for certification, events, and filings are advertised.
Workflow Integration APIs APIs for integration with other workflow or case management platforms.		No information available
Bulk Action Processing System can process compliance workflows for multiple clients simultaneously.		No information available
Workflow Audit Logging All automated actions and manual interventions are logged for later review.		No information available
Simultaneous Workflow Capacity Number of compliance workflows the system can handle at once.		No information available

Template Library Comes with templates for standard regulatory disclosures and forms.		Template library with pre-built forms (personal trading, gifts/entertainment, etc.) included.
Automated Document Delivery System automatically delivers disclosures and forms to clients and tracks receipt.		System delivers documents and tracks digital receipt.
E-signature Integration Integrated support for e-signatures on compliance documents.		E-signature integrations available (DocuSign/Adobe Sign advertised).
Version Control for Documents Tracks historical versions and updates to compliance documentation.		Tracks document versions for code of ethics, disclosures and certifications.
Secure Storage of Documents All disclosures and supporting documents are stored securely and encrypted.		Data is encrypted in storage. Advertised as secure cloud solution.
Document Retention Policy Automation Automatically enforces document retention and deletion policies per regulation.		No information available
Client Portal Access Clients can view/download compliance disclosures via secure web portal.		No information available
Document Searchability Full-text search across all disclosures and compliance documentation.		No information available
Bulk Document Processing Ability to generate or process documents in bulk for multiple clients.		No information available
Automated Acknowledgement Tracking Automatically tracks client acknowledgement of received disclosures.		No information available
Document Sharing Controls Granular controls over who can view, download, or share compliance documents.		No information available

Real-Time Activity Monitoring Monitors advisor and client activity for compliance in real time.		Platform monitors and logs all user and admin actions for compliance evidence.
Automated Alerting System sends alerts when compliance thresholds are approached or breached.		Alerts for personal trading, gift policy, outside activity, and compliance deadlines are automated.
Policy Breach Detection Rate Percentage of potential compliance breaches detected automatically.		No information available
Customizable Monitoring Rules Users can define and adjust their own sets of monitoring rules.		No information available
Risk Scoring System assigns risk scores to clients, advisors, or events based on compliance data.		No information available
False Positive Rate Rate of incorrect compliance alerts (false alarms).		No information available
Historical Data Analysis Can analyze and report on past data for compliance trends.		No information available
Automated Suspicious Activity Report (SAR) Generation Automatically generates regulatory reports on potentially suspicious activities.		No information available
Time to Alert Resolution Average time from alert generation to issue resolution.		No information available
Continuous Learning Utilizes machine learning to improve detection accuracy over time.		No information available
Role-Based Dashboard Views Custom dashboards based on user roles to review ongoing compliance status.		No information available

Comprehensive Audit Trail Logs all system changes, user actions, and compliance events.		No information available
Regulatory Exam Preparation Tools Assists with aggregation and export of reports for regulator examinations.		No information available
Custom Report Builder Users can build custom compliance and risk reports.		No information available
Pre-Built Regulatory Report Library Comes with templates for common regulatory audits (e.g., SEC Form ADV, FINRA 8210).		No information available
On-Demand Report Generation Reports can be generated at any time, not just on a schedule.		No information available
Scheduled Report Delivery Reports can be scheduled for automated delivery to stakeholders.		No information available
Audit Data Retention Audit logs are retained for a customizable period per regulation.		No information available
Regulatory Data Export Formats Support for exporting reports in commonly accepted regulator formats (e.g. XML, CSV, PDF).		No information available
Report Annotation Users can annotate and comment on reports within the system.		No information available
Automated Report Distribution List Management Manages report distribution lists and ensures correct stakeholders receive regulatory reports.		No information available
Custom Metrics and KPIs Ability to define and track custom compliance or audit metrics.		No information available

CRM Integration Integrates with Advisor CRM platforms to pull relevant client/advisor data.		No information available
Document Management System Integration Supports integration with enterprise DMS like SharePoint or Box.		No information available
API Availability Provides a documented API for integration with other fintech systems.		No information available
Data Import/Export Tools Tools for importing and exporting compliance-relevant data.		No information available
Single Sign-On (SSO) Supports SSO with enterprise identity platforms.		No information available
RegTech Vendor Marketplace Integration Connects with external RegTech data feeds and vendors.		No information available
Integration Documentation Quality Rated quality of API and integration documentation.		No information available
Integration Turnaround Time Time required to set up integrations with most common systems.		No information available
Historical Data Synchronization System can synchronize and ingest historical data from external sources.		Supports historical data import and synchronization from legacy systems (integration documentation).
Event-Driven Integration Supports event-driven triggers and actions from/to external systems.		No information available
Batch vs. Real-time Sync Modes Supports both scheduled batch syncs and real-time data synchronization.		No information available

Granular Role-Based Permissions Enables detailed access control based on defined roles and responsibilities.		No information available
Multi-Level Approval Hierarchies Supports layered approval structures in compliance workflows.		No information available
User Access Audit Logging Logs all user access and permission changes for security review.		No information available
Time-Based Access Controls Enables temporary, expiring access for audits or special cases.		No information available
Third Party Vendor Access Management Restricts and audits access for external users/vendors.		No information available
User Profile Bulk Management Tools Bulk onboard, modify, or offboard user permissions.		No information available
MFA (Multi-Factor Authentication) Support Supports multi-factor authentication for additional security.		Supports two-factor and multi-factor authentication options per solution security info.
Data Access Segmentation Restricts access to sensitive records based on user segments (e.g. office, branch, team, region).		No information available
Delegated Administration Allows select users to manage user access in their department/unit.		No information available
Session Timeout Controls Automatically logs out inactive users after set periods.		No information available
Permission Change Alerting System sends alerts for sensitive permission changes.		No information available

Data Encryption At Rest Encrypts all stored data to prevent unauthorized access.		Data encrypted at rest per cloud hosting & compliance documentation.
Data Encryption In Transit Encrypts all data transmitted between system components.		Encryption in transit via HTTPS/TLS; mentioned in security statement.
Audit Logging for Data Access Tracks all access, changes, and exports of sensitive records.		No information available
Anonymization/Redaction Capabilities Can redact or anonymize client and advisor data where appropriate.		No information available
GDPR/CCPA Compliance Features Features to support GDPR, CCPA, or other privacy regulations.		No information available
Data Breach Alerting Automated alerts and response playbooks for data security incidents.		No information available
Security Certifications Held Indicates the number or types of security certifications (e.g., SOC 2, ISO 27001) held.		No information available
Client Data Portability Tools Facilitates secure export or transfer of client records per privacy requests.		No information available
Data Destruction Verification Automated logs and confirmations for deleted data when required.		No information available
Encrypted Backup Management All backups are encrypted and access-controlled.		No information available
System Penetration Test Frequency Number of penetration tests conducted per year.		No information available

Intuitive User Interface Modern, user-friendly UI designed for easy navigation.		One selling point is modern and intuitive UI for streamlined compliance (per marketing and screenshots).
Customizable Dashboards Users can configure dashboards to view most relevant compliance metrics.		Configurable dashboards claimed as differentiator for compliance officers and managers.
Mobile Access or App Mobile-optimized web or native app for on-the-go compliance access.		No information available
Role-Based Training Modules Tailored training materials and guided onboarding for each user role.		No information available
In-Application Support Chat Live or AI-based support chat built into application UI.		No information available
Contextual Help and Tooltips Integrated help widgets, guides, and field-level tooltips.		No information available
Adoption Analytics Metrics on feature adoption rates and user engagement.		No information available
Customizable Branding Platform can be branded with a firm's identity (logos, colors).		No information available
Accessibility Features Meets major accessibility standards (e.g., WCAG 2.1).		No information available
Feedback Collection in-App Users can submit improvement suggestions and issue reports directly within app.		No information available
Client-Facing User Experience Easy-to-understand client portals for disclosure or audit interactions.		Clients have secure web portals for reviewing/completing certifications, COEs, and disclosures.

Automated Risk Profiling Automatically assesses compliance risk based on activity patterns.		Risk-based scoring and profiling are foundational to managing code of ethics compliance and exception monitoring.
Customizable Risk Scoring Models Allows firms to tailor risk scoring and weighting to business priorities.		No information available
Risk Heatmaps Graphical representations of compliance risks across the firm.		No information available
Risk Mitigation Workflow Integration Direct links between risk detection and workflow for resolution.		No information available
Loss Event Logging Tracks previous compliance losses and exposure events with analysis.		No information available
Scenario Stress Testing Runs theoretical compliance failure scenarios to test controls.		No information available
Risk Appetite Settings Firm-level controls for setting acceptable risk thresholds.		No information available
KRI (Key Risk Indicator) Tracking Tracks and reports on key risk indicators for regulatory compliance.		No information available
Automated Risk Mitigation Recommendations System generates actionable recommendations for risk reduction.		Platform includes risk detection and automated recommendations to compliance admin.
Risk Event Notification Frequency How frequently the system sends risk alerts.		No information available
Mitigation Effectiveness Tracking Monitors results of implemented risk controls or mitigations.		No information available

24/7 Support Availability Round-the-clock technical or compliance support for critical issues.		24/7 support is referenced in customer materials and service-level documents.
Dedicated Account Manager Each client is assigned an account manager for escalations.		No information available
SLAs for Issue Resolution Published service-level agreements on ticket response and resolution times.		No information available
Uptime Guarantee / SLA Vendor guarantees a minimum uptime for the platform.		No information available
System Uptime Statistics Platform reports historical uptime performance.		No information available
In-Product Troubleshooting Tools Self-service troubleshooting and diagnostic tools available to users.		No information available
Comprehensive Knowledge Base Extensive online help documentation and user guides.		No information available
Client Reference Availability Vendor can provide references from similar advisory firms or past clients.		ComplySci publishes client references and testimonials for the financial advisory sector.
Platform Roadmap Transparency Vendor publishes technology/product roadmap to clients.		No information available
Frequency of Feature Updates Average number of significant feature updates/releases each year.		No information available
Incident Response Time Average time to respond to significant incidents.		No information available

Real-time Activity Tracking Monitors advisor activities in real-time for immediate compliance oversight.		Core value proposition of ComplySci is supervising and tracking employee/advisor activities, which implies real-time activity monitoring.
Historical Audit Logs Stores a detailed record of advisor actions for retrospective review and audits.		Audit trail and compliance tracking is consistently cited as a primary feature in platform collateral.
Automated Flagging Automatically flags suspicious or non-compliant behavior for supervisory review.		ComplySci advertises 'automated alerting for high risk activities' which strongly implies automated flagging.
Session Recording Records user sessions for playback and detailed analysis.		No information available
Customizable Policy Rules Allows firms to set specific rules for advisor conduct based on firm or regulatory requirements.		ComplySci promotes customizable workflows and policies; this aligns to customizable policy rules.
Behavioral Analytics Uses analytics to detect unusual patterns in advisor behavior.		Uses analytics to spot risky patterns and unusual activity per solution briefs.
User Access Control Restricts access to sensitive actions and data based on user roles.		System is designed with role-based access and permissions, standard for any compliance platform.
Time-to-Detection Average time between non-compliant activity and system detection.		No information available
Number of Simultaneous Users Monitored Maximum number of advisors whose activities can be monitored at once.		No information available
Integrations with CRM/Portfolio Systems Connects to existing advisor-facing software for comprehensive monitoring.		ComplySci offers integrations with popular wealth management and CRM platforms.

Email Monitoring Captures and supervises advisor email correspondences with clients.		Capability to monitor and supervise emails is included in 'communications surveillance' features.
Text and Instant Messaging Supervision Monitors text and instant messaging platforms used by advisors.		Platform supports supervision for texts, instant messaging, and collaboration apps according to datasheets.
Voice Call Recording Records and archives advisor phone conversations.		No information available
Social Media Surveillance Monitors advisor communications on social media platforms.		Monitoring of communications includes social media (LinkedIn, Twitter, etc.), as detailed on website.
Keyword and Lexicon Detection Searches communications for pre-defined keywords or suspicious language.		Keyword/lexicon monitoring is a typical and explicit feature of their communications module.
Automated Compliance Reviews Automatically reviews communications for potential policy breaches.		Automated communication review for compliance breaches is a fundamental selling point.
Retention Period Customization Allows firms to configure how long communications are stored.		No information available
Redaction Capabilities Automatically redacts sensitive personal information in communications.		No information available
Threaded Conversation Tracking Maintains entire conversation threads for context in review.		No information available
Export and Reporting Tools Exports communication records and generates compliance reports.		The product includes extensive reporting and export options.

Real-time Trade Surveillance Continuously monitors portfolio transactions as they occur.		Trade surveillance, particularly for personal account dealing, is a headline feature.
Pattern Detection Identifies patterns indicative of market abuse, churning, or front running.		No information available
Pre-Trade Compliance Checks Validates trades against compliance rules before execution.		Pre-trade checks (trade pre-clearance) are available and a major platform function.
Post-Trade Exception Reporting Flags transactions that deviate from norms for further review.		Exception alerts and post-trade process automation is mentioned in marketing material.
Automated Alerting Sends alerts to supervisors for suspicious transactions.		Supervisory alerts and notifications are a key feature for trade/personal account monitoring.
Configurable Review Thresholds Allows customization of thresholds for what constitutes an exception.		Thresholds and workflow settings are customizable at the firm level.
Case Management Integration Links trade exceptions to investigation workflows.		Platform integrates alerts/exceptions into case review process.
Latency of Surveillance System Average time to detect and report an exception after trade execution.		No information available
Supported Asset Classes Number of different asset classes monitored by the system.		No information available
Historical Data Storage Duration transactional data is stored and retrievable.		undefined ComplySci touts multi-year storage for audit and regulatory requirements.

Centralized Disclosure Forms Enables electronic submission and tracking of OBA disclosures.		OBA (Outside Business Activity) forms are digital, tracked, and submitted centrally.
Automated Approval Workflows Routes disclosures for review and electronic approval.		Automated approval routing and workflow for disclosures is standard in the OBA module.
Conflict of Interest Checks Analyzes OBAs for potential conflicts with client interests.		No information available
Change Notifications Alerts supervisors when OBAs are disclosed, updated, or not renewed by deadline.		Email and in-system notifications are triggered by OBA status changes and renewal needs.
Integration with Regulatory Databases Matches advisor disclosures with regulatory blacklists and registries.		No information available
OBA Review Turnaround Time Average time required to review and approve a new OBA disclosure.		No information available
Renewal Reminders Automatically triggers renewal requests for expiring OBAs.		Renewal reminders for OBAs are standard and ensure compliance timelines are met.
OBA History Reports Generates reports of all disclosed OBAs for audit purposes.		History and audit reports for OBAs are a basic feature.
Supervisor Commenting Supervisors can log decisions and comments within the OBA workflow.		Supervisors can add review notes and comments on OBA submissions.
OBA Policy Enforcement Automatically blocks non-compliant activities pending review.		No information available

Intuitive Dashboard User-friendly main interface summarizing key audit activities and tasks.		Product screenshots & videos show modern dashboards summarizing compliance status.
Customizable Views Users can tailor visible fields, columns, or layouts to fit preferences.		Users can filter, build, and customize dashboard/report views.
Multi-Language Support Interfaces and help content available in multiple languages.		No information available
Accessibility Compliance Meets ADA/WCAG accessibility standards for users with disabilities.		No information available
Mobile Responsiveness Optimized for desktop, tablet, and smartphone use.		Platform is web-responsive for tablet/phone adviser and manager access.
Contextual Help/Hints In-app guidance and definitions for features and fields.		In-app help features and definitions referenced in demos/documentation.
Theme Customization Selectable color schemes and branding for firm customization.		No information available
Search Autocomplete Predictive suggestions while typing in search fields.		No information available
Quick Entry Templates Pre-set forms or templates for faster record input.		No information available
Drilldown Navigation Click-through from summary to detail with minimal steps.		No information available

Electronic Signature Support Enables sign-off on policies via legally recognized electronic signatures.		Supports electronic attestations for code of ethics, implying electronic signature support.
Time-Stamped Attestation Records the exact date and time of acknowledgment for each user.		Audit logs and attestations are tracked with precise time stamps.
One-Click Acknowledgment Simple interface for recipients to attest to reading and understanding policies.		One-click attest or certify options described in the platform for policy acknowledgment.
Quiz & Comprehension Checks Requires recipients to answer questions or complete a quiz before acknowledging.		No information available
Bulk Attestation Reports Create reports on overall acknowledgment status across the organization.		Bulk attestation and status reporting across the organization is a described capability.
Manager Override/Acknowledge for Teams Managers can acknowledge policies on behalf of absent team members.		No information available
Non-Attestation Escalation Automated escalation process for overdue acknowledgments (e.g., to supervisors).		Automated escalation if employees do not complete compliance attestations (e.g. policy receipt) is standard.
Minimum Required Question Score Minimum passing score on quizzes for acknowledgment to count.		No information available
Maximum Users Supported in Attestations Largest number of users who can acknowledge a single policy.		No information available

Digital Policy Library Stores and organizes all active compliance policies in a central, searchable repository.		Policy library and resource hub features are marketed as central compliance document storage.
Policy Version Control Tracks and archives all historical versions of each policy document.		No information available
Acknowledgement Workflows Ensures advisors electronically acknowledge receipt and understanding of new policies.		Acknowledgement workflows included in policy and code of ethics tracking module.
Automated Policy Distribution Distributes updated policies firm-wide with tracking of receipt.		Automated and firm-wide distribution of policies mentioned as a feature.
Policy Effectiveness Reminders Alerts stakeholders to upcoming effectivity dates for new policies.		No information available
Quiz and Certification Modules Tests advisor comprehension of policies via embedded exams.		Quiz/certification is included as part of compliance training and attestation module.
Policy Exception Logging Records and tracks approved exceptions to policies.		No information available
Automated Policy Expiry Alerts Notifies administrators when policies need updates or are about to expire.		System notifications trigger for policy renewal or impending expiry.
Customization of Policy Templates Allows for firm-specific customization of compliance policy templates.		Policy templates are customizable at the firm level.
External Regulation Mapping Links firm policies directly to applicable regulations for audit and reference.		No information available

Configurable Alert Rules Lets administrators define custom alert rules for various compliance events.		Administrators can configure alerting and escalation rules.
Machine Learning Anomaly Detection Uses AI/ML to identify patterns predictive of emerging risk or compliance breaches.		ComplySci positions machine learning-based anomaly detection prominently in newer feature descriptions.
Alert Prioritization Ranks alerts by severity so supervisors can triage efficiently.		No information available
False Positive Rate Percentage of alerts generated that are ultimately determined non-issues.		No information available
Alert Escalation Paths Automates escalation to senior compliance personnel based on defined criteria.		Alert escalation workflows are customizable.
Notification Channels Supports multiple alert delivery methods (email, SMS, in-app, etc.).		Multiple notifications (email, app) available for escalation/alerts.
Average Alert Response Time Median time between alert creation and first review by a supervisor.		No information available
Audit Log of Alerts Maintains logs of alerts generated, actioned, and resolved for regulatory review.		Audit logs for alerts and compliance actions are core to ComplySci’s regulatory positioning.
Alert Suppression Rules Allows temporary or permanent suppression of specific lower-risk alerts.		No information available
Dashboards for Supervisors Interactive dashboards visualize current and historical alert status and risk exposure.		Dashboards for supervisors showing risk and alert status are a major UI focus.

Case Tracking System Records and tracks all compliance investigations from open to close.		Case management and investigation workflow support is explicitly mentioned.
Document and Evidence Upload Allows inclusion of files and commentary in case records.		Document and evidence upload for case files is supported.
Task Assignment and Workflow Management Breaks cases into tasks and assigns them to compliance personnel.		Task/workflow management is part of case and compliance process handling.
Linked Historical Data Links cases to related incidents and advisor histories.		No information available
Automated Case Escalation Escalates unresolved cases to higher management if not closed in expected timeframe.		No information available
Case Resolution Time Average time required to resolve a compliance investigation.		No information available
Secure Case Records Ensures that all case data is encrypted and access-controlled.		Encryption of case data and access controls are part of ComplySci’s information security.
Role-based Access Permissions Access to case data determined by staff roles and responsibilities.		Role-based permissions are standard for all client data and case tracking.
Outcome Documentation Captures final decisions, resolutions, and follow-up for each case.		Case outcomes and decisions are documented, aligning with outcome documentation requirement.
Integration with External Whistleblower Hotlines Connects anonymous tip channels directly to case creation workflows.		No information available

Customizable Management Dashboards Displays key compliance and risk metrics in real time.		Dashboards showing compliance risk metrics and real time stats are core offering.
Automated Scheduled Reporting Delivers selected reports by email or secured download on a set schedule.		Automated scheduled reporting is supported for recurring compliance reports.
On-demand Report Generation Allows users to generate reports on-demand with custom filters.		On-demand custom report generation is a platform highlight.
Regulatory Report Templates Pre-built formats meeting standard regulatory requirements.		Regulatory-compliant report templates are offered in the reporting toolset.
Data Export Capabilities Exports data for use in external systems (Excel, CSV, PDF, etc.).		Export to CSV, Excel, PDF, etc. is a standard reporting feature.
Drill-down Analytics Enables users to navigate from high-level summaries to underlying records.		Drill-down analytics from dashboards to raw data is available.
Trend Analysis Automatically highlights trends, anomalies, and seasonality in compliance data.		Trend detection/analytics are featured in compliance risk management marketing.
Number of Supported Report Types Total types of pre-built or custom report formats available.		No information available
Visualization Tools Integrated charts, graphs, and pivot tables for visual analysis.		Visualization tools such as charts and dashboards are showcased on the product page.
User-level Report Permissions Restricts report access based on user roles and data sensitivity.		User- and role-level report permissions are a standard control on the platform.

Rule Update Automation Automatically updates system rules when regulations change.		No information available
Jurisdictional Customization Allows configuration of rules and workflows by country, state, or province.		Firm- and jurisdiction-specific customization of rules and alerts is mentioned across documentation.
Multi-regulator Mapping Simultaneously supports rules for multiple regulatory authorities (e.g., SEC, FINRA, FCA).		Ability to handle different regulators’ requirements is often promoted for global/multinational firms.
Change Management Tools Enables testing and controlled rollout of compliance rule updates.		No information available
Regulatory Feed Integration Integrates with live feeds of regulatory updates.		No information available
Audit Trail for Compliance Rule Changes Captures and logs all changes to compliance rules with timestamp and author.		Change log/audit trail for policy and rule changes is referenced in platform specs.
Automatic User Notification of Rule Changes Notifies users/advisors when critical compliance rules have been changed.		User notifications for new policy or rule changes are automatic and can be required to acknowledge.
Policy Localization Support Enables effective communication of rules/policies across multiple languages.		No information available
Impact Analysis Tools Estimates impact of regulatory changes on current business processes.		No information available
Number of Jurisdictions Supported Maximum number of unique jurisdictions supported in one environment.		No information available

Multi-factor Authentication Requires more than one method of authentication to access the system.		Multi-factor authentication is a listed security feature for compliance-sensitive systems.
End-to-End Encryption Encrypts data both in transit and at rest.		End-to-end encryption of data at rest and in transit per information security webpage.
Role-based Access Management Only authorized users can access specific data and functions.		Role-based access controls are a core feature stated on the product security description.
Comprehensive Audit Trails Tracks all access and changes to sensitive data for forensic analysis.		ComplySci highlights comprehensive audit trails for security and compliance access.
Data Loss Prevention Automated controls prevent unauthorized extraction or exposure of sensitive data.		Data loss prevention controls are included as security features.
Privacy Policy Compliance Ensures system logic and configuration align with relevant data privacy laws (GDPR, CCPA, etc.).		Compliance with privacy and data protection laws (e.g. GDPR) is explicitly marketed.
Incident Response Integration Connects compliance incidents to structured cybersecurity response workflows.		No information available
Regular Security Audits Supports recurring penetration testing and code reviews.		Regular third-party security audits and testing mentioned in SOC 2 and ISO certification context.
Session Timeout Policy Defines max allowed inactive time before user is logged out.		No information available
User Activity Monitoring Monitors admin and user interactions for potential security threats.		User activity and admin logins are monitored for suspicious patterns, a stated security capability.

Comprehensive Interaction Logging Records all types of client interactions (email, call, in-person, digital).		Platform tracks employee actions and compliance events including gifts, trades, OBAs, and more. Likely records all client/advisor interaction types relevant to compliance.
Automatic Timestamping Captures exact date and time of every change or entry.		Audit and compliance platforms always timestamp actions for audit trail integrity.
Document Attachment Support Allows the secure upload and association of supporting documents with audit entries.		System tracks document uploads for OBA, gifts, policy acknowledgment, etc., implying secure attachment support.
Editable Notes Ability to add and update advisor notes for context while maintaining previous versions.		Platform allows advisers/compliance personnel to update notes (for investigations, reviews) and retains prior versions as an audit trail.
Change Log/Version History Keeps a record of all data modifications with before/after state.		Change logs are foundational for audit/compliance products and required to demonstrate audit trail.
Immutable Ledger Ensures records cannot be altered or deleted after entry for audit integrity.		No information available
Volume Capacity Maximum number of records or interactions system can reliably store per year.		No information available
Data Retention Period Length of time records are retained according to regulatory guidelines.		No information available
Bulk Import/Export Supports mass upload and export of records for migration or backup.		Bulk import/export for onboarding and audit responses is standard in compliance platforms.
Multimedia Storage Ability to store audio, video, and multimedia communications as part of the audit trail.		No information available

Advanced Search Robust filters (date, client, advisor, event type, etc.) for quickly finding records.		Robust searches (by employee, event, date, form, etc.) are advertised as core capabilities.
Customizable Reporting Build and export tailored reports for compliance reviews, audits, and investigations.		Platform is advertised as enabling tailored reports to meet compliance and audit needs.
Audit Trail Visualization Timeline or graphic visualization of client-interaction histories.		No information available
Export Formats Available formats for exporting data (CSV, PDF, Excel, etc.).		No information available
Saved Reports Ability to save and schedule common audit reports.		Compliance platforms support saving and scheduling standard compliance reports.
Role-based Data Access Limits report/data access based on user role/permissions.		Role-based access control is critical for limiting viewing of sensitive personal trading/OBA data.
Time to Retrieve Record Average time to access a record from search to display.		No information available
Bulk Data Extraction Allows mass export of historical audit trails for regulatory requests.		Bulk export for regulator queries and audits is described in use cases.
Keyword Tagging/Search Tag records for easier retrieval using user-defined keywords.		No information available
Full-Text Search Scans attached documents and notes for keywords/phrases.		Searches on notes/narratives and uploaded documents suggest full-text search.

User Authentication Enforces secure user logins and multifactor authentication.		Platform supports secure authentication with multi-factor options—common in regulated SaaS.
Role-Based Permissions Granular control over who can access, view, edit, or export audit records.		Role-based permissions advertised for differentiating adviser, compliance, and admin users.
Encryption at Rest All records are encrypted when stored on disk.		All leading SaaS for compliance advertise encryption at rest as meeting regulatory standards.
Encryption in Transit Data is always encrypted during network transmission.		Encryption in transit (TLS) for all data flows is a basic expectation in compliance platforms.
Audit Log of Access Fully logs which users access which records and when.		Logging user access and actions is fundamental for financial regulatory audits.
Session Timeout Sessions auto-expire after set period of inactivity.		Sessions autologout after inactivity promos, aligning with security best-practice.
Failed Login Alerts Notifies administrators of repeated login failures or suspicious access.		No information available
Granular Field Masking Sensitive fields (SSN, addresses, etc.) are masked unless explicitly permitted.		No information available
User Password Policy Controls Configure password complexity and refresh requirements.		Password policy control is routine for security/governance-constrained SaaS.
Number of Permission Levels How many roles or permission profiles can be configured.		No information available

Pre-Configured Compliance Templates Built-in reporting and workflows for key financial regulations.		ComplySci offers built-in compliance frameworks for SEC, FINRA, etc.
Custom Policy Rule Engine Allow firms to define customized compliance triggers and alerts.		Business rules, policy engines, and custom alerts described in platform overviews.
Audit Readiness Dashboard Central view of compliance status with outstanding tasks/deficiencies.		No information available
Regulatory Change Updates System updates templates/processes in response to new regulations.		ComplySci advertises ongoing regulatory update coverage.
Automated Exception Alerts Notifies users about entries/actions requiring special compliance attention.		System provides risk/exceptions alerts for flagged policy violations.
Custom Compliance Reports Flexible reporting to demonstrate compliance with local/global rules.		Reports for tracking compliance, customizable as per jurisdiction.
E-Signature Compliance Supports legally recognized e-signatures for documentation.		e-signatures are supported for code of ethics and policy attestations.
Policy and Forms Repository Centralized location for latest firm/industry policies and forms.		Central repository for policies, forms, code of ethics is described in feature set.
Automated Retention Policy Enforcement Automatically deletes or archives records as required by law.		No information available
Regulatory Export Formats Supported Number of regulatory-mandated export types available.		No information available

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Financial Technology Year

ComplySci Platform from ComplySci

Product analysis by function

Regulatory Compliance Systems for Compliance and Risk Management

Regulatory Coverage (2 Yes /3 Known /11 Possible features)

Workflow Automation (4 Yes /4 Known /11 Possible features)

Disclosure and Documentation Management (5 Yes /5 Known /11 Possible features)

Compliance Monitoring (2 Yes /2 Known /11 Possible features)

Audit and Reporting (0 Yes /0 Known /11 Possible features)

Integration and Interoperability (1 Yes /1 Known /11 Possible features)

User Access and Permissions (1 Yes /1 Known /11 Possible features)

Data Security and Privacy (2 Yes /2 Known /11 Possible features)

User Experience and Adoption (3 Yes /3 Known /11 Possible features)

Risk Assessment and Management (2 Yes /2 Known /11 Possible features)

Support and Vendor Reliability (2 Yes /2 Known /11 Possible features)

Advisor Supervision Systems for Compliance and Risk Management

Advisor Activity Monitoring (7 Yes /7 Known /10 Possible features)

Client Communication Supervision (6 Yes /6 Known /10 Possible features)

Trade and Transaction Supervision (7 Yes /7 Known /10 Possible features)

Outside Business Activity (OBA) Monitoring (6 Yes /6 Known /10 Possible features)

Policy Management (6 Yes /6 Known /10 Possible features)

Surveillance & Alerting (6 Yes /6 Known /10 Possible features)

Case Management & Investigation Tools (6 Yes /6 Known /10 Possible features)

Reporting & Analytics (9 Yes /9 Known /10 Possible features)

Regulatory Compliance Adaptability (4 Yes /4 Known /10 Possible features)

System Security & Privacy Controls (8 Yes /8 Known /10 Possible features)

Audit Trail Systems for Compliance and Risk Management

Data Capture & Recordkeeping (6 Yes /6 Known /10 Possible features)

Search, Retrieval & Reporting (6 Yes /6 Known /10 Possible features)

Security & Access Control (7 Yes /7 Known /10 Possible features)

Regulatory Compliance Support (7 Yes /7 Known /10 Possible features)

Integration & Interoperability (6 Yes /6 Known /10 Possible features)

Scalability & Performance (3 Yes /3 Known /10 Possible features)

User Experience & Interface (4 Yes /4 Known /10 Possible features)

Notifications, Alerts & Workflow Automation (7 Yes /7 Known /10 Possible features)

Audit & Investigation Tools (5 Yes /5 Known /10 Possible features)

Customization & Extensibility (4 Yes /4 Known /10 Possible features)

Support, Training & Vendor Reliability (7 Yes /7 Known /10 Possible features)