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Description
Dakota Profiler, powered by a comprehensive regulatory database, assists organizations in navigating local compliance while streamlining their global Environmental, Health, and Safety (EHS) initiatives. Utilizing Dakota's carefully curated Regulatory Database, the platform employs Decision-Tree-Logic to aid users in developing Compliance Profiles tailored to individual sites. The profile gauge reveals the number of regulatory domains applicable to each location, those that are not, and crucially, those that remain unknown. Organized by regulatory domain, Profiler provides a straightforward and organized structure that tracks citations within your tasks, ensuring the creation of precise legal registers and thorough compliance calendars. Users can easily manage and monitor task occurrences until resolved through Dakota Tracer. Additionally, Profiler's regulatory hierarchy features visual cues to signal important changes and prompt necessary reviews of impacted citations and tasks. To keep teams informed, Regulatory Alert emails notify them of upcoming changes whenever pertinent updates are released in the Federal Register, fostering proactive compliance management. Ultimately, Dakota Profiler enhances organizational efficiency and compliance readiness in an ever-evolving regulatory landscape.
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
Integrations
No details available.
Integrations
No details available.
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
Dakota Software
Founded
1988
Country
United States
Website
www.dakotasoft.com/proactivity-suite/profiler
Vendor Details
Company Name
COMPLY
Country
United States
Website
www.comply.com/products/ria-in-a-box/
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
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