Average Ratings 0 Ratings

Total
ease
features
design
support

No User Reviews. Be the first to provide a review:

Write a Review

Average Ratings 0 Ratings

Total
ease
features
design
support

No User Reviews. Be the first to provide a review:

Write a Review

Description

Neglecting to properly handle compliance and obligations can lead to various repercussions for companies, some of which may extend beyond financial losses. It is essential to take a proactive approach in monitoring and managing commitments while ensuring adherence to all internal and external audit requirements. Businesses should provide a consolidated view of all activities related to regulatory compliance across different departments. Maintaining an accurate and current inventory of all commitments to stakeholders, along with the relevant activities tied to these promises, is crucial. Regularly keep both internal and external stakeholders updated and informed, allowing them to access necessary information through self-service portals on the extranet. Additionally, synchronize business processes and compliance documentation using a cohesive records management system. To facilitate this, Navantis has developed a robust framework utilizing Microsoft Dynamics CRM to effectively manage and track interactions with key stakeholders, whether at the individual, community, or project level, enhancing overall engagement and accountability. This comprehensive approach not only fosters transparency but also strengthens trust among all parties involved.

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

Screenshots View All

Screenshots View All

Integrations

Microsoft Dynamics 365

Integrations

Microsoft Dynamics 365

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

Navantis

Website

www.navantis.com

Vendor Details

Company Name

COMPLY

Country

United States

Website

www.comply.com/products/ria-in-a-box/

Product Features

Association Management

Chapter Management
Committee Management
Dues Management
Election Management
Email Marketing
Event Management
Financial Management
Fundraising Management
Jobs Board
Member Communities
Member Directory
Member Portal
Membership Management
Website 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

Alternatives

Alternatives

Luthor Reviews

Luthor

Luthor.ai
Lawrbit Reviews

Lawrbit

Lawrbit Global Compliance Network