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Average Ratings 1 Rating
Description
Enhance every element of your current trade compliance strategy by leveraging Global EASE. Our comprehensive trade management solution, EASE, serves as a unified platform that proficiently oversees trade compliance from start to finish while ensuring the visibility and governance required to elevate your program. This powerful solution incorporates trade compliance automation throughout your global organization, offering various modules tailored to meet your specific requirements. With 40 years of expertise, OCR's EASE offerings are grounded in extensive industry research and continuous engagement with customers. We consider every customer relationship as a collaborative partnership that fuels our development and innovation. Each product launch and update is informed by user feedback and analysis, which ensures that EASE remains flexible, efficient, and adaptable, making it an ideal resource for any organization striving for excellence in trade compliance. By choosing EASE, you are not just adopting a tool; you are investing in a transformative approach to global trade management.
Description
Smartria is a cloud-based RIA compliance management platform built specifically for registered investment advisors, chief compliance officers, and compliance consulting firms. The software centralizes SEC and FINRA compliance activities and can be configured around an individual firm's policies, workflows, employees, and regulatory requirements. Compliance management tools help firms track recurring tasks, forms, deadlines, alerts, reminders, filings, and other activities needed to maintain an ongoing compliance program. Marketing review workflows streamline the submission and approval of marketing materials while maintaining records of approvals and rejections. Employee oversight capabilities record attestations covering areas such as codes of ethics, outside business activities, personal holdings, political activities, and insider relationships. Smartria's trade monitoring solution supports customized trade rules, pre-clearance processes, front-running alerts, and KYC and KYE requirements. Vendor management tools allow firms to maintain vendor records and track security certifications, attestations, and incidents from a centralized location. Automated workflows can also support employee onboarding, regulatory filings, record retention, activity logging, reporting, and other recurring compliance processes. Smartria offers configurations for boutique, growing, and enterprise RIAs as well as multi-client access, content publishing, and in-app communications for compliance consultants.
API Access
Has API
No
API Access
Has API
No
Integrations
No details available.
Integrations
No details available.
Pricing Details
No price information available.
Free Trial
No
Free Version
No
Pricing Details
No price information available.
Free Trial
No
Free Version
No
Deployment
Web-Based
Yes
On-Premises
No
iPhone App
No
iPad App
No
Android App
No
Windows
No
Mac
No
Linux
No
Chromebook
No
Deployment
Web-Based
Yes
On-Premises
No
iPhone App
No
iPad App
No
Android App
No
Windows
No
Mac
No
Linux
No
Chromebook
No
Customer Support
Business Hours
Yes
Live Rep (24/7)
No
Online Support
No
Customer Support
Business Hours
Yes
Live Rep (24/7)
No
Online Support
No
Types of Training
Training Docs
Yes
Webinars
No
Live Training (Online)
No
In Person
No
Types of Training
Training Docs
Yes
Webinars
No
Live Training (Online)
Yes
In Person
No
Vendor Details
Company Name
OCR Services
Founded
1981
Country
United States
Website
www.ocr-inc.com/global-ease/
Vendor Details
Company Name
Smartria
Founded
2011
Country
United States
Website
smart-ria.com
Product Features
License Management
Automatic SKU Recognition
No
Central LM Server
No
Copy Protection
No
History Tracking
Yes
Node Management
No
Online Activation
Yes
Portable License
No
Sarbanes-Oxley Compliance
Yes
Timing Rights
Yes
Trial License
No
Product Features
Compliance
Archiving & Retention
Yes
Artificial Intelligence (AI)
No
Audit Management
Yes
Compliance Tracking
No
Controls Testing
No
Environmental Compliance
No
FDA Compliance
No
HIPAA Compliance
No
ISO Compliance
No
Incident Management
No
OSHA Compliance
No
Risk Management
Yes
Sarbanes-Oxley Compliance
No
Surveys & Feedback
No
Version Control
No
Workflow / Process Automation
No