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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 

Screenshots View All

Screenshots View All

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 

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