Average Ratings 0 Ratings
Average Ratings 0 Ratings
Description
Eliminate the hassle of managing multiple systems for your essential non-trading compliance needs. Patrina’s Integrated Compliance Suite caters to Broker-Dealers, RIAs, and FCMS, offering a single, robust platform that streamlines workflows and provides a comprehensive overview of your entire non-trading compliance program. As your business evolves in a rapidly changing world, adapting strategies and restructuring becomes crucial for maintaining competitiveness. Each action taken today carries implications for the future, and amidst these transitions, valuable historical data can easily be overlooked. Effective record preservation plays a vital role in the success of any enterprise, and thriving organizations require robust Enterprise Records Management (ERM) solutions. Regardless of whether regulatory demands or internal stakeholder needs govern your recordkeeping practices, Patrina’s ERM system equips your business with the necessary tools to securely consolidate and archive all critical electronic records on a globally accessible platform, ensuring you maintain compliance and protect your valuable data. In doing so, you can focus on growth while confidently managing your compliance obligations.
Description
SurgeONE serves as a comprehensive cloud solution designed for compliance, cybersecurity, data integration, and AI governance specifically tailored for registered investment advisers, broker-dealers, and various regulated financial institutions. Its suite of compliance tools is engineered to assist organizations in preparing for audits, establishing written supervisory procedures, managing employee attestations, overseeing personal trading activities, reviewing marketing and electronic communications, maintaining regulatory calendars, and tracking issues. In terms of cybersecurity, SurgeONE offers features such as vendor due diligence, endpoint monitoring, risk dashboards, and the documentation of inspection evidence. The platform's data integration capabilities leverage over 110 adapters, enabling the aggregation of information from multiple financial systems into a centralized compliance data lake for enhanced reporting and analysis. Additionally, the AI governance tools empower firms to catalog and oversee their AI applications, implement policy checks, escalate issues for review, and preserve traceable records. This modular platform seamlessly blends software workflows with expert oversight from compliance and cybersecurity professionals, ensuring a robust framework for managing regulatory requirements. Ultimately, SurgeONE not only enhances operational efficiency but also strengthens the overall compliance posture of financial firms.
API Access
Has API
No
API Access
Has API
No
Screenshots View All
No images available
Integrations
MyRepChat
No
Pricing Details
$250 per month
Free Trial
No
Free Version
No
Pricing Details
Pricing is scoped to the selected pillars and modules and the firm's deployment.
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
Yes
Customer Support
Business Hours
Yes
Live Rep (24/7)
No
Online Support
Yes
Types of Training
Training Docs
No
Webinars
No
Live Training (Online)
Yes
In Person
Yes
Types of Training
Training Docs
Yes
Webinars
Yes
Live Training (Online)
No
In Person
Yes
Vendor Details
Company Name
Patrina
Founded
1993
Country
United States
Website
patrina.com/records-management/
Vendor Details
Company Name
SurgeONE
Founded
2024
Country
United States
Website
www.surgeone.ai/
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
No
Sarbanes-Oxley Compliance
No
Surveys & Feedback
No
Version Control
Yes
Workflow / Process Automation
No
Document Management
Access Controls
Yes
Archiving & Retention
Yes
Collaboration Tools
Yes
Compliance Tracking
Yes
Document Archiving
Yes
Document Assembly
No
Document Capture
No
Document Conversion
Yes
Document Delivery
No
Document Indexing
Yes
Document Retention
Yes
Electronic Signature
Yes
Email Management
Yes
File Recovery
Yes
File Type Conversion
Yes
Forms Management
No
Full Text Search
Yes
Offline Access
Yes
Optical Character Recognition
Yes
Print Management
No
Version Control
Yes