Advisor Supervision Systems

Comprehensive advisor supervision platform that enables firms to automate branch audits, compliance ... more...

A compliance platform designed for financial advisors that records all client interactions and advis... more...

Protects businesses from financial loss related to employee theft, embezzlement, forgery, fraud, and... more...

Compliance solution that helps firms reduce manual processes, strengthen supervisory control, and ma... more...

AI-powered compliance monitoring, automated regulatory updates, documentation management, compliance... more...

Comprehensive compliance management platform for employee trade monitoring, MNPI, code of ethics man... more...

Compliance program management platform designed specifically for registered investment advisors to m... more...

Protects company decision makers against claims and lawsuits alleging wrongful acts in managing the ... more...

Provides financial protection from employee lawsuits alleging sexual harassment, wrongful terminatio... more...

Detects potential advisor misconduct and breaches using automation and advanced analytics across tra... more...

Compliance supervision and workflow management solution enabling compliance teams to monitor, review... more...

AI-powered supervision technology that automatically scans communications across social media, websi... more...

Focuses on detecting inappropriate sales practices, market abuse, and policy violations through real... more...

Monitors advisor activity across communications, transactions, and account changes to identify nonco... more...

Personal account monitoring and Code of Ethics solution designed to help investment advisers and bro... more...

Financial protection if sued for mistakes and alleged negligence while providing professional servic... more...

AI-powered compliance software purpose-built for financial advisors and firms. Automates advertising... more...

Integrated compliance solution helping advisory firms manage and document compliance obligations inc... more...

Integrated compliance management platform with modules for personal trading, outside business activi... more...

Custodial and technology platform for independent registered investment advisors (RIAs) providing co... more...

Michael has advised financial institutions for more than 24 years, with expertise in regulatory comp... more...

AI-powered communication supervision platform that enables financial firms to monitor and review adv... more...

Provides comprehensive advisor activity monitoring, trade and sales practice surveillance, suitabili... more...

Customized compliance solutions for Registered Investment Advisers (RIAs), Exempt-Reporting Advisers... more...

Essential coverage protecting businesses and employees for work-related injuries and illnesses. more...

Compliant social media management for financial advisors, pre-approved content library, automated co... more...