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Average Ratings 0 Ratings

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ease
features
design
support

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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.

Description

RIMExpert™ effectively streamlines regulatory planning, tracking, and data management by overseeing global rollout strategies and automating the preparation of regulatory applications, activities, and medicinal products. By minimizing data entry requirements, RIMExpert™ enhances data integrity while boosting global oversight and control. The platform standardizes processes related to regulatory planning, tracking, and registration management, which in turn fosters improved collaboration between headquarters and their affiliates. It also establishes a centralized workspace for all registration-related activities. This single access point consolidates all inquiries, commitments, correspondence, and authorizations for each application, thereby synchronizing efforts to achieve optimal efficiency in enterprise regulatory resources. RIMExpert™ enables precise control over registration activities throughout a product's lifecycle, ensuring that timelines and the status of commitments and agency inquiries are continuously monitored. Additionally, it features interactive dashboards that provide a comprehensive overview of regulatory activities and registrations, empowering teams to make informed decisions and take timely actions. In this way, RIMExpert™ not only enhances regulatory compliance but also drives organizational effectiveness.

API Access

Has API

API Access

Has API

Screenshots View All

Screenshots View All

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

COMPLY

Country

United States

Website

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

Vendor Details

Company Name

AMPLEXOR

Founded

1987

Country

Luxembourg

Website

www.amplexor.com/en/life-sciences-suite/rim/regulatory-planning-tracking.html

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

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