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Description
Intapp Employee Compliance streamlines the oversight of your firm's employees' financial interests and external engagements while ensuring alignment with internal ethical guidelines and documentation requirements. This solution assists professionals in adhering to both company and regulatory standards, simplifying the oversight process for compliance teams as they monitor individual activities. By equipping employees with intuitive tools, compliance with firm policies becomes more straightforward, allowing for the verification of information using standardized data and the identification of any discrepancies. The system automatically alerts employees about necessary actions and monitors their progress, facilitating timely responses and approvals through effective workflows and notifications. Additionally, it offers detailed histories that are valuable for firm management and regulatory bodies. A centralized hub enables staff to manage and seek authorization for regulated activities efficiently, seamlessly integrating employee compliance with your current HR and trading platforms. To further enhance usability, it provides role-specific, centralized data views along with dynamic reporting capabilities that adapt to the needs of your organization.
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
Intapp
Founded
2000
Country
United States
Website
www.intapp.com/employee-compliance/
Vendor Details
Company Name
COMPLY
Country
United States
Website
www.comply.com/products/ria-in-a-box/
Product Features
HR Compliance
Alerts / Notifications
Certifications Management
Communication Tools
Customizable HR Documents
Document Management
Records Management
Regulations Monitoring
Reporting / Analytics
Roles / Permissions
Version Control
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