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ease
features
design
support

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Description

Broadcom Compliance Event Manager is an advanced mainframe security continuous monitoring solution built to help organizations improve compliance management and threat detection across critical IT environments. The platform continuously monitors essential areas of the mainframe, including z/OS system settings, security controls, applications, and external security managers such as ACF2, Top Secret, and IBM RACF. It provides real-time alerts and event notifications that help organizations quickly identify suspicious activity, security breaches, and configuration changes that could compromise sensitive systems or data. Compliance Event Manager integrates with SIEM platforms and SOC operations to provide a centralized enterprise-wide view of security events and risk exposure. The solution also supports detailed auditing and forensic analysis by archiving activity records for both real-time investigations and on-demand reporting. Organizations can simplify complex compliance management processes while improving visibility into their security posture and reducing operational risk. Compliance Event Manager helps businesses minimize the costs associated with excessive security alerts by filtering and forwarding only critical events for analysis. Broadcom also provides educational resources, professional services, and technical support to help organizations optimize mainframe security and compliance operations. By combining automated monitoring, threat detection, and compliance management capabilities, the platform enables enterprises to strengthen cybersecurity governance and maintain continuous oversight of mission-critical infrastructure.

Description

RIA in a Box serves as a robust, all-encompassing compliance management solution specifically designed for Registered Investment Advisers (RIAs) to efficiently manage and monitor their regulatory responsibilities under both SEC and state laws. This platform integrates crucial compliance processes into a single, user-friendly interface, featuring a customizable compliance calendar and log that comes pre-filled with best practice recommendations. Additionally, it automates the registration and filing processes, including the preparation of essential documents such as Form ADVs and Codes of Ethics. The platform also provides extensive archiving of communications across various channels like email, social media, and websites, equipped with advanced filtering and review capabilities. Moreover, it supports a guided annual review process that complies with SEC Rule 206(4)-7, incorporates structured risk assessments linked to compliance policies, and offers oversight tools for monitoring employee activities, which include trading, outside business activities, and attestations. Furthermore, it includes a built-in cybersecurity compliance feature grounded in the NIST framework, ensuring that vendor due diligence is comprehensively addressed. This all-in-one solution empowers RIAs to maintain compliance more effectively than ever before.

API Access

Has API

API Access

Has API

Screenshots View All

Screenshots View All

Integrations

RadiantOne

Integrations

RadiantOne

Pricing Details

No price information available.
Free Trial
Free Version

Pricing Details

No price information available.
Free Trial
Free Version

Deployment

Web-Based
On-Premises
iPhone App
iPad App
Android App
Windows
Mac
Linux
Chromebook

Deployment

Web-Based
On-Premises
iPhone App
iPad App
Android App
Windows
Mac
Linux
Chromebook

Customer Support

Business Hours
Live Rep (24/7)
Online Support

Customer Support

Business Hours
Live Rep (24/7)
Online Support

Types of Training

Training Docs
Webinars
Live Training (Online)
In Person

Types of Training

Training Docs
Webinars
Live Training (Online)
In Person

Vendor Details

Company Name

Broadcom

Founded

1991

Country

United States

Website

www.broadcom.com/products/mainframe/security/compliance-event-manager

Vendor Details

Company Name

COMPLY

Country

United States

Website

www.comply.com/products/ria-in-a-box/

Product Features

Incident Response

Attack Behavior Analytics
Automated Remediation
Compliance Reporting
Forensic Data Retention
Incident Alerting
Incident Database
Incident Logs
Incident Reporting
Privacy Breach Reporting
SIEM Data Ingestion / Correlation
SLA Tracking / Management
Security Orchestration
Threat Intelligence
Timeline Analysis
Workflow Automation
Workflow Management

Product Features

Compliance

Archiving & Retention
Artificial Intelligence (AI)
Audit Management
Compliance Tracking
Controls Testing
Environmental Compliance
FDA Compliance
HIPAA Compliance
ISO Compliance
Incident Management
OSHA Compliance
Risk Management
Sarbanes-Oxley Compliance
Surveys & Feedback
Version Control
Workflow / Process Automation

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