Complii Description
Complii is a web-based compliance solution that automates the processing, checking, and management of compliance responsibilities, safeguarding AFSLs, stockbrokers, advisors, and their clients. This innovative software platform eliminates the reliance on paper by providing a secure digital environment tailored to meet the compliance needs of AFS Licensees and brokers. By automating key tasks such as generating ROAs and SOAs based on client profiles, maintaining a 708 expiry register, and creating FOFA FDS letters, Complii streamlines the compliance process significantly. Furthermore, it facilitates electronic opt-ins, updates to online client profiles, disclosures, breach registers, and the establishment of Chinese walls for internal compliance. Complii also enhances advisory practices by offering a comprehensive organizational view of all pending orders that require advice or action. In addition, it features a digital document storage solution, allowing users to efficiently manage their documentation in a secure online environment. Overall, Complii revolutionizes compliance management by integrating various functions into a single, user-friendly platform.
Complii Alternatives
Proton Drive is the secure workspace for storing sensitive data and collaborating with confidence across teams, clients, and external partners.
With full end-to-end encryption, you can share files, contracts, and business documents securely — and stay in control at all times. Set passwords, expiration dates, or revoke access instantly. Files are encrypted on your device before upload, and only you and your collaborators can access them. Even Proton can’t see your data. Each user gets 1 TB of storage, and you can scale as your organization grows. Proton Drive is developed in Switzerland by the makers of Proton Mail. We’re independent, built on privacy-first principles, and free from Big Tech surveillance, lock-in, or monetization of user data. We offer more than secure storage:
- Real-time collaboration with Proton Docs
- Granular sharing controls for external and internal access
- File recovery for peace of mind
- Cross-device access, including Windows, macOS, iOS, and Android
We also help you meet compliance requirements out of the box. Proton Drive supports:
- GDPR, HIPAA, DORA, NIS2, and ISO 27001
- Independently audited SOC 2 Type II compliance
- No complex setup or third-party integrations required.
By choosing Proton Drive, you show your clients, partners, and regulators that privacy and security are built into your workflows — not an afterthought.
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Since 2010, FastBound’s Electronic A&D and Electronic 4473 FFL software has processed more than one billion transactions for thousands of Federal Firearms Licensees (FFLs). FastBound is not a jack of all trades; we are a master of one: firearms compliance software. Our expertise and responsive support are two big reasons why software companies trust FastBound more than any other provider to handle their firearms compliance for them. FastBound offers a robust API and syncs effortlessly with a growing list of point of sale (POS), enterprise resource planning (ERP), and other software packages. FastBound includes an attorney-backed compliance guarantee. FastBound is proud to be 100% developed and supported in the USA.
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Luthor
Luthor delivers automated, streamlined compliance for RIAs who need a powerful but easy-to-use platform to manage regulatory responsibilities. Its AI Marketing Review scans every piece of content—emails, social posts, ads, and website updates—to catch violations instantly and provide compliant replacements. Advisors get SEC 17a-4 compliant archiving, omnichannel monitoring, and a centralized dashboard showing firm-wide compliance health at a glance. Employees can submit outside business activities, political contributions, gifts, and certifications electronically, eliminating outdated spreadsheets and manual workflows. Luthor also includes a comprehensive policy library where firms can deploy templated, advisor-ready policies for cybersecurity, ethics, privacy, communication, and more. Built-in analytics provide visibility into risk trends, team activity, and audit readiness. SOC 2 Type II controls, immutable storage, and role-based permissions ensure that regulatory data stays secure and compliant. Luthor helps RIAs reduce costs, reclaim time, and operate with confidence in a continuously evolving regulatory landscape.
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Ortec Finance
Ortec Finance provides a robust solution aimed at assisting both advisors and clients throughout the advice delivery and monitoring stages. By employing a unified and comprehensive strategy for goal-oriented financial guidance, it effectively addresses market volatility while simplifying the investment decision-making process for clients. The scalable, goal-driven solutions enhance the efficiency of delivering personalized financial advice across various client portfolios. Its API framework allows for seamless integration with pre-existing technological infrastructures, supporting traditional, digital, or blended client engagement methods. By translating individual financial aspirations into appropriate and effective investment strategies using high-quality economic scenarios, it actively oversees the advice process through the OPAL solution. Additionally, Ortec Finance's offerings are accessible through APIs and a user-friendly plug-and-play interface, making them suitable for advisors, wealth managers, and asset management professionals alike. This adaptability ensures that the solutions can meet the diverse needs of the financial advisory sector.
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Company Details
Company:
Complii
Headquarters:
Australia
Website:
www.complii.com.au
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