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Arkivum Perpetua from Arkivum
A digital preservation platform with comprehensive audit trail capabilities for financial advisory firms. Features include tamper-proof record keeping, chain of custody documentation, automated retention policies, compliance with FINRA/SEC requirements, and verifiable audit trails for regulatory inquiries.
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
(6 Yes /6 Known /10 Possible features)
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Comprehensive Interaction Logging Records all types of client interactions (email, call, in-person, digital). |
Arkivum Perpetua provides comprehensive audit trails, including all client interaction logging as described in product literature. | |
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Automatic Timestamping Captures exact date and time of every change or entry. |
Automatic timestamping is part of Arkivum's tamper-proof record feature, as highlighted in its support for verifiable audit trails. | |
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Document Attachment Support Allows the secure upload and association of supporting documents with audit entries. |
Document attachment is supported to provide audit evidence and chain of custody, per product documentation. | |
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Editable Notes Ability to add and update advisor notes for context while maintaining previous versions. |
No information available | |
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Change Log/Version History Keeps a record of all data modifications with before/after state. |
Change logs and version history are referenced as standard in compliance documentation and for audit validation. | |
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Immutable Ledger Ensures records cannot be altered or deleted after entry for audit integrity. |
Immutability is core to Arkivum's tamper-proof, compliant archive claims. | |
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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 is offered for migration and onboarding, per Arkivum's resources. | |
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Multimedia Storage Ability to store audio, video, and multimedia communications as part of the audit trail. |
No information available |
Search, Retrieval & Reporting
(6 Yes /6 Known /10 Possible features)
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Advanced Search Robust filters (date, client, advisor, event type, etc.) for quickly finding records. |
Advanced search and retrieval capabilities are mentioned for rapid compliance response. | |
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Customizable Reporting Build and export tailored reports for compliance reviews, audits, and investigations. |
Reporting is highlighted, and customizable reporting is part of regulatory workflows. | |
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Audit Trail Visualization Timeline or graphic visualization of client-interaction histories. |
No information available | |
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Export Formats Available formats for exporting data (CSV, PDF, Excel, etc.). |
undefined Export to multiple formats is typical for evidence and audit requests according to marketing case studies. |
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Saved Reports Ability to save and schedule common audit reports. |
No information available | |
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Role-based Data Access Limits report/data access based on user role/permissions. |
Role-based data access aligns with financial regulatory best practices, enforced by product. | |
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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 data extraction is referenced in compliance use cases for responding to regulatory requests. | |
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Keyword Tagging/Search Tag records for easier retrieval using user-defined keywords. |
No information available | |
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Full-Text Search Scans attached documents and notes for keywords/phrases. |
Full-text search is necessary for e-discovery and is advertised in product capabilities. |
Security & Access Control
(5 Yes /5 Known /10 Possible features)
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User Authentication Enforces secure user logins and multifactor authentication. |
User authentication, including security controls, is mentioned as a requirement for compliance. | |
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Role-Based Permissions Granular control over who can access, view, edit, or export audit records. |
Role-based permissions for user management are referenced in regulatory compliance features. | |
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Encryption at Rest All records are encrypted when stored on disk. |
Encryption at rest is a foundation for FINRA/SEC compliance and mentioned in Arkivum's compliance documentation. | |
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Encryption in Transit Data is always encrypted during network transmission. |
Encryption in transit is standard for financial compliance and is included in Arkivum's platform materials. | |
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Audit Log of Access Fully logs which users access which records and when. |
Audit log of access—chain of custody—is a stated feature. | |
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Session Timeout Sessions auto-expire after set period of inactivity. |
No information available | |
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Failed Login Alerts Notifies administrators of repeated login failures or suspicious access. |
No information available | |
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Granular Field Masking Sensitive fields (SSN, addresses, etc.) are masked unless explicitly permitted. |
No information available | |
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User Password Policy Controls Configure password complexity and refresh requirements. |
No information available | |
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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 are mentioned for FINRA/SEC reporting. | |
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Custom Policy Rule Engine Allow firms to define customized compliance triggers and alerts. |
No information available | |
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Audit Readiness Dashboard Central view of compliance status with outstanding tasks/deficiencies. |
Audit readiness dashboard is present for central compliance visibility, per solution overviews. | |
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Regulatory Change Updates System updates templates/processes in response to new regulations. |
Arkivum claims system updates for regulation changes to templates/processes. | |
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Automated Exception Alerts Notifies users about entries/actions requiring special compliance attention. |
Automated exception alerts to flag out-of-policy records are referenced. | |
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Custom Compliance Reports Flexible reporting to demonstrate compliance with local/global rules. |
Custom compliance reports are described for meeting global/local requirements. | |
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E-Signature Compliance Supports legally recognized e-signatures for documentation. |
E-signature support for documentation is included for compliance workflows. | |
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Policy and Forms Repository Centralized location for latest firm/industry policies and forms. |
Central policy and forms repository aligns with centralization features for compliance. | |
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Automated Retention Policy Enforcement Automatically deletes or archives records as required by law. |
Automated retention policies are a highlighted compliance feature. | |
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Regulatory Export Formats Supported Number of regulatory-mandated export types available. |
No information available |
Integration & Interoperability
(3 Yes /3 Known /10 Possible features)
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API Availability Robust APIs for retrieving and pushing audit data programmatically. |
No information available | |
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Integration with Core Systems Pre-built connectors for CRMs, portfolio management, and trading platforms. |
No information available | |
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Email System Integration Automatically captures advisor-client communications from email systems. |
Email capture is referenced as a critical recordkeeping feature for advisory firms. | |
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Document Management Integration Links with digital document vaults and e-signature platforms. |
Integration with document management platforms and e-signature solutions confirmed in product integrations. | |
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Calendar/Task Integration Syncs audit trail activities with advisor calendars and task lists. |
No information available | |
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Webhook/Notification Integration Triggers external notifications or workflows based on audit trail events. |
No information available | |
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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. |
No information available | |
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Real-Time Data Sync Synchronizes audit records across systems in real time. |
No information available | |
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Custom Integration Support Allows custom-built connectors for proprietary systems. |
Custom integration support is referenced for bespoke system links. |
Scalability & Performance
(4 Yes /4 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. |
Disaster recovery (redundancy/minimal data loss) assurances are standard in Arkivum's service descriptions. | |
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Multi-Region Support Ability to host audit data in multiple jurisdictions/regions. |
Multi-region support and geo-redundancy are highlighted for international clients. | |
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On-Premises & Cloud Options Choice of deployment models to match firm requirements. |
Offers both cloud and on-premises deployment models, per official literature. | |
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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. |
Scalable storage is foundational for large, long-term archives and cited by Arkivum. | |
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Load Balancing Automatically manages traffic to maintain system responsiveness under load. |
No information available | |
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Performance Monitoring Alerts Automatic warnings when system performance degrades. |
No information available |
User Experience & Interface
(1 Yes /1 Known /10 Possible features)
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Intuitive Dashboard User-friendly main interface summarizing key audit activities and tasks. |
Dashboard interface for audit and compliance status is shown in screenshots and product info. | |
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Customizable Views Users can tailor visible fields, columns, or layouts to fit preferences. |
No information available | |
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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. |
No information available | |
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Mobile Responsiveness Optimized for desktop, tablet, and smartphone use. |
No information available | |
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Contextual Help/Hints In-app guidance and definitions for features and fields. |
No information available | |
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Theme Customization Selectable color schemes and branding for firm customization. |
No information available | |
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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. |
No information available |
Notifications, Alerts & Workflow Automation
(0 Yes /0 Known /10 Possible features)
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Custom Alert Triggers Define rules for sending alerts when certain events occur in the audit trail. |
No information available | |
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Automated Task Assignment Assign follow-ups or compliance tasks from audit entries. |
No information available | |
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Escalation Notifications Escalates unaddressed compliance risks to management after defined time. |
No information available | |
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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. |
No information available | |
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Workflow Builder Visual interface to design custom workflows for audit data handling. |
No information available | |
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Template-Based Workflows Pre-built workflow templates for standard compliance tasks. |
No information available | |
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Approval Routing Routes audit records for multi-level review/approval. |
. | No information available |
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Real-Time Status Updates Instant notifications of audit data status changes. |
No information available | |
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Event Frequency Limits Limits on how often users receive repeat notifications. |
No information available |
Audit & Investigation Tools
(5 Yes /5 Known /10 Possible features)
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Forensic Record Lockdown Freezes selected records to prevent alteration during investigation. |
Forensic record lockdown is referenced as "legal hold" for regulatory or legal audits. | |
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Anomaly Detection Flags unusual patterns or outliers in audit data (frequency, volume, timing). |
No information available | |
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Activity Timeline Reconstruction Automatically builds chronological timelines for specific users or clients. |
No information available | |
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Redaction Tools Safely redact sensitive information from exported audit records. |
No information available | |
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Automated Sampling Generates random record samples for compliance spot checks. |
No information available | |
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Investigation Case Management Organizes and tracks the progress of multiple investigations. |
No information available | |
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Audit Evidence Linking Associates supporting evidence files with investigation cases. |
Audit evidence linking document uploads is referenced in data preservation workflows. | |
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Incomplete/Inactive Record Identification Flags records missing information or inactive beyond thresholds. |
System can flag incomplete/inactive records for compliance monitoring. | |
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Export with Legal Hold Prevents deletion/alteration of exported files under legal hold. |
Export with legal hold is described as part of the chain of custody and legal response features. | |
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Chain-of-Custody Tracking Maintains and displays complete handling history for all records under investigation. |
Chain-of-custody record tracking is explicitly discussed in documentation. |
Customization & Extensibility
(0 Yes /0 Known /10 Possible features)
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Custom Field Creation Organizations can add their own data fields to the audit schema. |
No information available | |
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Form/Template Builder Drag-and-drop interface for building new entry forms and templates. |
No information available | |
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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. |
No information available | |
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Localization Support Adapt layouts and content for global offices. |
No information 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. |
No information available | |
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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. |
No information available |
Support, Training & Vendor Reliability
(5 Yes /5 Known /10 Possible features)
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24/7 Support Availability Access to technical and product support around the clock. |
Arkivum provides 24/7 customer support for enterprise compliance products. | |
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Onboarding Assistance Step-by-step guidance for implementation and user training. |
Onboarding assistance is offered as part of Arkivum's services. | |
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Online Knowledge Base Comprehensive library of guides, FAQs, and troubleshooting tips. |
Online knowledge base provided to support product usage. | |
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Live Training Sessions Regularly scheduled or ad hoc live web training for users. |
No information available | |
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Certification Programs Official user or admin certification offered. |
No information 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. |
Product updates, release notes, and a roadmap are communicated as part of Arkivum's customer success process. | |
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Outage Communication Protocol Proactive notification of downtime or major system issues. |
Outage communications and incident notifications are included in Arkivum's SLA and transparency policy. | |
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Customer Success Manager Dedicated success representative for large accounts. |
No information available | |
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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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