Alternatives to RIA in a Box

Skillcast Compliance Portal is a cloud-based platform that centralises compliance training and regulatory management in one system. It combines e-learning, policy versioning and attestations, staff declarations, compliance registers, CPD tracking, and event management. Organisations can use Skillcast as their LMS or integrate its content into existing systems via Remote SCORM/xAPI. The built-in AI assistant, Aida, answers policy-aware questions, while integrations with HR and LXP platforms are supported through SCIM. Hosted on Microsoft Azure, the portal meets ISO 27001, Cyber Essentials/Plus, and SOC 2 standards. Its course library includes over 400 modules covering topics like financial crime, GDPR, health & safety, and anti-bribery. Prebuilt registers for Gifts & Hospitality, Whistleblowing, Data Breach, and RIDDOR come with configurable workflows. Designed for industries such as finance, manufacturing, hospitality, and retail, the portal offers multilingual, accessible delivery and a free trial.

Predict360, by 360factors, is a risk and compliance management and intelligence platform that automates workflows and enhances reporting for banks, credit unions, financial services organizations, and insurance companies. The SaaS platform integrates regulations and obligations, compliance management, risks, controls, KRIs, audits and assessments, policies and procedures, and training in a single cloud-based SaaS platform and delivers robust analytics and insights that empower customers to predict risks and streamline compliance. Happy with your current GRC but lacking a true analytics and BI tool for intuitive executive and Board reports? Ask about Lumify360 from 360factors - a predictive analytics platform that can work alongside any GRC. Keep your process management workflows intact while providing stakeholders with the timely reports and dashboards they need.

Archive Intel is a cutting-edge archiving platform that utilizes AI to streamline client communication management while ensuring accuracy. It effortlessly records a variety of communications, such as emails, iMessages, text messages, social media interactions, and more. The software provides a straightforward way to adhere to regulatory standards, leveraging the capabilities of artificial intelligence. Designed by experts who comprehend the hurdles advisors encounter in maintaining compliance, Archive Intel boasts an intuitive interface and efficient workflow that improves user satisfaction and reduces operational costs. Built from the ground up with a focus on compliance, it aligns with SEC Rule 204-2 and 17A-4. This all-encompassing platform also archives diverse forms of communication, including WhatsApp messages, thus covering all bases. With features like free exports and prompt reporting, Archive Intel offers a user-friendly solution that equips firms with the necessary tools for regulatory compliance, making it an invaluable asset for any organization.

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.

StarCompliance (Star) has been the trusted leader in compliance technology for more than 25 years, helping organizations around the globe reduce risk, manage conflicts of interest, and meet growing regulatory demands. Millions of users across 114 countries rely on Star to safeguard employees, protect reputations, and ensure accountability. The StarCompliance Enterprise platform delivers complete compliance coverage, overseeing personal account trading, securities, and digital assets, while also managing gifts, hospitality, outside business activities, and political donations. It incorporates incident management, MNPI oversight, and accountability regime support across jurisdictions such as the UK, Ireland, Australia, and Singapore. Configurable workflows, real-time analytics, and customizable dashboards equip compliance teams with actionable intelligence and the ability to proactively identify and address risks. The platform is designed to scale, offering multi-language and multi-currency capabilities, while its secure, cloud-ready architecture integrates with data platforms like Snowflake to deliver a comprehensive view of firm-wide risk. Star pairs its advanced technology with extensive client resources, training programs, and ongoing support to ensure long-term adoption and value. By combining global scale, deep expertise, and future-ready architecture, StarCompliance enables organizations to foster cultures of trust, transparency, and compliance.

Intapp Employee Compliance streamlines the oversight of your firm's employees' financial interests and external engagements while ensuring alignment with internal ethical guidelines and documentation requirements. This solution assists professionals in adhering to both company and regulatory standards, simplifying the oversight process for compliance teams as they monitor individual activities. By equipping employees with intuitive tools, compliance with firm policies becomes more straightforward, allowing for the verification of information using standardized data and the identification of any discrepancies. The system automatically alerts employees about necessary actions and monitors their progress, facilitating timely responses and approvals through effective workflows and notifications. Additionally, it offers detailed histories that are valuable for firm management and regulatory bodies. A centralized hub enables staff to manage and seek authorization for regulated activities efficiently, seamlessly integrating employee compliance with your current HR and trading platforms. To further enhance usability, it provides role-specific, centralized data views along with dynamic reporting capabilities that adapt to the needs of your organization.

The cybersecurity landscape presents significant challenges for Federal Departments and Agencies (D&As), but there are additional critical factors that must be considered to enhance their cybersecurity and privacy (CS&P) initiatives. These include the rising demands of federal CS&P-related regulatory frameworks, increased oversight, and the necessity for clear guidance. Additionally, there is a shift from a compliance-oriented mindset to one focused on comprehensive risk management, alongside mounting pressures from limited resources and budget constraints. To navigate this complex environment effectively, federal D&As should adopt CS&P programs that prioritize proactive engagement in cyberspace rather than mere reactive measures. CyberScale® offers a systematic methodology designed to improve the effectiveness and efficiency of an organization's CS&P programs, operations, and systems. It utilizes the NIST cybersecurity framework to identify and assess CS&P risks, thereby gauging the organization’s CS&P maturity. Furthermore, it plays a crucial role in managing and monitoring the mitigation of cybersecurity and privacy risks, ensuring that organizations remain resilient against evolving threats. Establishing such proactive measures is essential for fostering a robust defense against potential cyber incidents.

Eliminate the complexities of SOX compliance effortlessly with policyIQ, which streamlines oversight while enhancing productivity. Our solution's user-friendly configuration tools are tailored to fit your specific requirements and can be operational within weeks, all without the hefty costs associated with custom solutions. By allowing you to update a control in one location only, policyIQ ensures that all reports and views reflect these changes, significantly saving time and minimizing errors. Enjoy real-time insights into your progress and outcomes through personalized dashboards. Take a proactive approach by collecting audit evidence ahead of time with advance requests for documentation. Simplify the processes of control attestations, reviews, and 302 sub-certifications using straightforward electronic forms. Establish automated workflows to manage changes effectively or escalate issues as needed. Furthermore, you can connect policies with relevant compliance materials, including regulatory standards or internal controls, ensuring a comprehensive approach to compliance management. With these features, policyIQ empowers organizations to navigate the complexities of SOX compliance with ease and confidence.

Regulatory Risks are amongst the Top 3 Business Risks globally as there are multiple Laws (Central, State & Municipal level) applicable to each business. Laws are frequently changing, are complex, and involves multiple stakeholders (internal/external) to manage. The Board needs to have oversight of their compliance and regulatory risks across the enterprise, which means understanding which Regulatory obligations map to which business processes, policies & controls. Offered as SaaS, GCMS helps businesses create a centralized framework to proactively monitor Regulatory Risks across an extensive range of Compliance obligations from all applicable Laws; enabling the Board to efficiently manage control across geography, functional, and industry mandates. Build on Twin Software Architecture, GCMS integrates Tech with Regulatory Intelligence & Updates for 1,000s of Laws, Regulations from 70+ Countries. GCMS simplifies understanding and adhering to all Compliance obligations. It creates common understanding across all stakeholders and makes compliance easier to know, adhere and report.

Reimagine your approach to fulfilling compliance and regulatory reporting requirements. Our dedicated team consists of regulatory specialists, technology innovators, and data professionals who are committed to enhancing data integrity while developing innovative solutions to navigate the intricacies of regulation. Our award-winning offerings serve a diverse clientele within the financial services sector, ranging from small asset management firms to leading banks, ensuring they can satisfy regulatory expectations effectively. Experience precise, comprehensive, and prompt regulatory reporting, all within a unified digital platform that allows for seamless searching, sharing, and management of regulatory information. Benefit from automated monitoring and reporting for shareholding disclosures, along with a comprehensive strategy for tackling market abuse and misconduct. Minimize regulatory risks through efficient automated research management, and take advantage of our accredited training programs that cover a broad array of regulatory reporting frameworks. As experts in regulation and data, we are driven by a mission to transform how organizations engage with compliance and regulatory matters, ultimately creating a more streamlined process for all involved. Our vision is not just to assist clients but to redefine the standard for industry practices.

The AML-TRACE compliance suite, developed by SMART Infotech in 2011, is a reliable software solution designed for anti-money laundering efforts. At Smart Infotech, we offer a highly adaptable compliance system that allows organizations to efficiently meet their AML regulatory requirements without incurring excessive costs. Organizations subject to these regulations must conduct client verifications to mitigate the risks associated with financial crimes. AML-TRACE supports a comprehensive approach for managing KYC, EDD, and CDD obligations, facilitating processes from initial client onboarding to continuous due diligence. With features like customer screening during onboarding, ongoing monitoring, and automated transaction risk scoring, our solution empowers you to fulfill anti-money laundering and regulatory mandates effectively. We assist you in tracking AML compliance, minimizing risks, and defending against financial crime, all while ensuring adherence to regulations. Furthermore, AML-TRACE enables thorough audits of AML compliance, enhancing your organization's transparency and accountability in financial operations.

FCI is a NIST-Based Managed Security Service Provider (MSSP) offering Cybersecurity Compliance Enablement Technologies & Services to CISOs and security personnel of organizations with prescriptive cybersecurity regulatory requirements. FCI blends best-of-breed technologies, cybersecurity best practices, expertise, and innovation to deliver cloud-based Managed Endpoint and Network Protection as well as Safeguard Scanning & Evidencing.

Enterprise-Level Compliance Enhanced by AI Technology. Utilize the capabilities of large language models and advancing AI innovations to optimize compliance processes in sectors with strict regulations. The Conductor strategy empowers international organizations to implement LLMs effectively across intricate workflows, ensuring bias detection and improving alignment with new regulatory standards. Additionally, this approach fosters a culture of compliance that adapts to evolving legal requirements.

Simplifying regulatory monitoring is our goal. Access, search, and arrange global regulatory information seamlessly in one centralized location. Stay on top of regulatory developments that impact your business by monitoring and prioritizing relevant changes. You’ll find Rule Updates, Filings, Proposals, and Amendments included, ensuring you’re always informed about new or revised regulations. Documents are categorized by widely recognized themes, like cybersecurity or anti-money laundering, as well as your personalized themes. This flexibility allows you to work in a way that enhances your understanding of emerging regulatory patterns. You can flag documents and assign them to colleagues for further evaluation. Additionally, you can create and oversee your own obligations to keep track of tasks and ensure they are completed. Every regulatory document, including rule updates, guidance notes, and speeches, is gathered in one accessible location. The categorization of documents based on essential regulatory themes aligns with the workflow of Risk and Compliance Officers. By utilizing this tool, you can save over 20 hours per regulation while keeping up with rule changes. Ascent pulls together the information that matters most to you, streamlining your regulatory monitoring efforts. This comprehensive approach not only improves efficiency but also enhances your ability to respond proactively to regulatory changes.

SwiftSafe's SACT (Self-Assessment Compliance Toolkit) is an AI-powered platform that helps businesses manage and maintain compliance with essential regulations, including GDPR, HIPAA, and PCI DSS. It offers automated assessments, instant report generation, and ongoing compliance tracking, making it easier for companies to ensure they meet regulatory standards. SACT’s user-friendly interface and real-time alerts on updated guidelines reduce the need for external consultations, saving businesses time and money. Whether managing security audits or maintaining certifications, SACT provides the tools necessary to streamline the entire compliance process.

Grand's AI-powered GRC software helps businesses manage their governance, risk, and compliance processes more efficiently. The platform consolidates all relevant regulations into a central repository, offering real-time insights into regulatory obligations and compliance risks. Features like intelligent alerts, automated reporting, and machine learning-driven analysis ensure businesses stay ahead of compliance requirements. Ideal for industries like finance and healthcare, Grand GRC enhances operational efficiency, reduces manual effort, and provides valuable insights to improve decision-making.

Bloomberg Vault serves as a comprehensive compliance and surveillance solution aimed at assisting global financial services institutions in fulfilling their regulatory requirements and operational standards. The platform allows firms to effectively capture, manage, archive, reconstruct, and analyze their voice data throughout the entire trading lifecycle, whether in real-time or retrospectively. As a premium enterprise solution with extensive capabilities within the compliance workflow, Vault is also essential for the entire terminal community by capturing Bloomberg’s proprietary e-communications and trading data, alongside providing fundamental archival, surveillance, and search functionalities for authorized reviewers. The integration of a trade archiving solution with the Bloomberg Vault communications storage system facilitates timely trade reconstruction. Users benefit from a single console that offers searchable and retrievable data, ensuring complete visibility into every trade. Additionally, the system empowers administrators to review, access, and adjust the scope of user enablement across various products and services, enhancing operational flexibility. In this way, Vault not only streamlines compliance but also supports informed decision-making across the organization.

OverseeAI offers a robust platform for property and casualty insurers to monitor, govern, and optimize AI applications across underwriting, claims, and distribution processes. It helps increase underwriting speed and accuracy while balancing profitability with market competitiveness. For claims, OverseeAI delivers superior outcomes at lower costs through AI-driven automation and fraud detection. The platform ensures clean data capture during distribution, supporting precise and timely quoting decisions. With real-time dashboards, insurers gain clarity on AI model performance and business value, facilitating data-driven decision-making. OverseeAI promotes collaboration across technical, business, and compliance teams, fostering coordinated risk management and scalable AI adoption. Its in-production playbook guides continuous AI monitoring and compliance adherence. Purpose-built for insurance, OverseeAI reduces vendor complexity and instills confidence in AI deployments.

Develop a robust and scalable compliance program with ComplianceAlpha, our cutting-edge regulatory technology platform enhanced by managed services. By leveraging integrated technology and comprehensive services, you can achieve enhanced results and greater economies of scale. A well-rounded compliance program is essential not only for safeguarding your business but also for fostering its growth. Discover how ComplianceAlpha is assisting over 800 top financial services firms worldwide in creating superior GRC programs. Strengthen your compliance framework by utilizing ComplianceAlpha, which harmonizes risk management, compliance oversight, surveillance, and analytics within a single platform, granting you a cohesive perspective on risks and behaviors throughout your organization. Our team combines expertise in regulatory compliance, cybersecurity, performance, ESG, and technology to craft timely and effective solutions to address your most urgent challenges, ensuring that your compliance efforts are both adaptive and forward-thinking. Embrace the future of compliance management with a solution designed to evolve alongside your business needs.

Dakota Profiler, powered by a comprehensive regulatory database, assists organizations in navigating local compliance while streamlining their global Environmental, Health, and Safety (EHS) initiatives. Utilizing Dakota's carefully curated Regulatory Database, the platform employs Decision-Tree-Logic to aid users in developing Compliance Profiles tailored to individual sites. The profile gauge reveals the number of regulatory domains applicable to each location, those that are not, and crucially, those that remain unknown. Organized by regulatory domain, Profiler provides a straightforward and organized structure that tracks citations within your tasks, ensuring the creation of precise legal registers and thorough compliance calendars. Users can easily manage and monitor task occurrences until resolved through Dakota Tracer. Additionally, Profiler's regulatory hierarchy features visual cues to signal important changes and prompt necessary reviews of impacted citations and tasks. To keep teams informed, Regulatory Alert emails notify them of upcoming changes whenever pertinent updates are released in the Federal Register, fostering proactive compliance management. Ultimately, Dakota Profiler enhances organizational efficiency and compliance readiness in an ever-evolving regulatory landscape.

DORA 360 is a flexible and scalable SaaS solution specifically designed for financial institutions to create, integrate, and showcase operational resilience. It seamlessly links business operations with policies, risk management controls, IT infrastructures, third-party vendors, incidents, and relevant data, providing a cohesive approach to demonstrating regulatory compliance throughout Europe. Tailored to facilitate adherence to the Digital Operational Resilience Act (DORA), DORA 360 also encompasses additional international ICT standards, including NIST and ITIL, to ensure comprehensive and efficient compliance management. The platform is powered by Magpie AI, a regulatory intelligence engine aimed at enhancing the DORA compliance process. By leveraging the capabilities of generative AI, Magpie AI offers immediate responses to inquiries related to DORA, while also providing real-time updates on regulations, predictive compliance analytics, automated gap assessments, and ongoing monitoring to ensure that compliance status remains current. With these features, financial institutions can navigate the complexities of regulatory demands with greater ease and confidence.

Vendifi is a cutting-edge third-party risk management (TPRM) platform built for regulated industries like healthcare, finance, and government. Designed to simplify vendor compliance, Vendifi automates the entire due diligence process—from creating regulatory-compliant questionnaires to distributing them, chasing third parties for documentation, and validating responses. This removes the administrative burden from your team, allowing you to focus on strategic priorities. Alongside automated due diligence, Vendifi provides advanced cybersecurity monitoring, including real-time threat detection, vulnerability assessments, and ransomware alerts. Built on Microsoft SharePoint and Azure, Vendifi integrates seamlessly with your existing ecosystem, ensuring data security and compliance within your Office 365 environment. Whether you're managing 10 vendors or 10,000, Vendifi scales with your needs, offering a centralized solution for third-party risk management, compliance tracking, and vendor lifecycle management. Protect your third-party ecosystem with Vendifi—where automated due diligence meets cybersecurity.

BitAML is an advisory firm dedicated to providing AML compliance solutions tailored for cryptocurrency financial institutions grappling with various regulatory challenges. Our team consists of seasoned AML compliance professionals who possess a deep understanding of the regulatory landscape across all levels of government. Unlike many firms in the financial compliance sector, BitAML stands out by focusing on the creation of comprehensive, personalized AML compliance frameworks that specifically address the unique needs of cryptocurrency businesses. We take great care to ensure that no regulatory aspect is overlooked. Our extensive range of products and services is designed to simplify the process for business owners, enabling them to implement and update AML compliance policies, procedures, and protocols with both efficiency and precision as their operations expand. Our clientele includes a diverse array of businesses, such as operators of bitcoin ATMs and kiosks, cryptocurrency exchanges, individual traders, trading platforms, hedge funds, and even those in the crypto-cannabis sector, among others. By addressing the specific needs of these varied businesses, we aim to foster a safer and more compliant cryptocurrency environment.

Alphatax serves as a holistic solution for enterprise corporation tax compliance, streamlining the collection of raw data, automating calculations, performing cross-reference checks, and validating information within a comprehensive workflow tailored for the UK, Ireland, and UAE tax systems. This platform boasts advanced tax logic that is consistently updated to reflect current legislation, along with integrated cross-references and unique audit-trail features that meticulously log every modification with timestamps; it also provides automated report generation through both standard formats and customizable settings, ensuring flexibility for users. Furthermore, Alphatax seamlessly connects with ERP systems and various data sources, allowing for real-time collaboration and review functionalities that facilitate controlled approvals. To enhance accuracy, it includes built-in guidance and contextual assistance and offers direct e-filing capabilities to HMRC or relevant local authorities. Supporting calculations across multiple jurisdictions, adhering to specific country regulations, and maintaining a complete version history, Alphatax equips tax professionals with the tools necessary to confidently prepare, oversee, and submit corporation tax returns while ensuring full compliance with regulatory requirements. This comprehensive suite ultimately aims to simplify the complexities of tax compliance and improve overall efficiency for corporate tax teams.

Ensuring security and compliance in contemporary collaboration platforms is crucial for enterprises aiming to mitigate risks related to data exposure, security, and acceptable use during interactions. This approach enables organizations to effectively oversee what is shared, communicated, and documented throughout collaborative sessions. With cloud-based solutions that are quick and simple to integrate, businesses can facilitate safe collaboration across remote locations and a distributed workforce. Furthermore, aligning video conferencing and collaboration practices with security, risk, and compliance mandates empowers organizations to utilize modern communication tools without concern. Theta Lake offers a specialized compliance suite designed for the automatic identification of regulatory risks, streamlined compliance processes, and archiving solutions for video marketing, conferencing, and audio recordings. As the demand for video marketing and conferencing continues to surge, it coincides with a rise in regulatory requirements such as MiFID II, FCA, GDPR, FINRA, and FFIEC, highlighting the need for robust compliance measures. Consequently, companies can confidently embrace these communication technologies while adhering to necessary regulations.

Document engineering provides immediate benefits to business users right from the start, eliminating the need for extensive investments in machine learning, extensive employee training, or significant IT development. It allows for the analysis of agreements to identify potential risks, pricing structures, and contractual obligations. By doing so, organizations can prevent costly penalties and escalated fees that result from delays. This approach enables the conversion of carrier plans into usable data, allowing brokers to concentrate on sales rather than data entry tasks. Additionally, it helps reduce expenses while enhancing quality compared to relying on temporary staffing solutions year after year. Thoroughly examining your Master Service Agreements and Statements of Work reveals deliverables, pricing structures, liabilities, and legal risks, mitigating the chance of unexpected costs. It also streamlines the diligence process during transactions, helping to pinpoint price discrepancies, renewal timelines, sub-lease options, and tax complications across entire portfolios. Compliance with tax regulations becomes easier, rents can be optimized, and unnecessary fees can be avoided. By unlocking the data embedded in your unique documents, productivity, compliance, and insights can be significantly enhanced. Moreover, re-papering outdated licenses ensures adherence to new regulatory standards and customer demands, while guaranteeing that quality reviews and documentation are meticulously maintained for future reference. Ultimately, this comprehensive approach empowers organizations to navigate complex documentation with confidence and clarity.

Numerous companies offer support for trade and transaction reporting; some focus on software solutions for data extraction and conversion, others provide advice on regulatory compliance, and additional firms serve as agents to report trades on your behalf. However, TRAction stands out from the crowd. We go beyond merely being a software vendor, consultancy, or reporting agent. TRAction takes the initiative to extract, scrutinize, and format your data according to the specifications required by the appropriate trade repository. We handle your registration with a trade repository, prioritize cost-effectiveness, and address any discrepancies in your data for you. Our services include clarifying regulatory requirements, ensuring your business remains compliant, and keeping you updated on any changes in regulations. For further insights and updates on trade and transaction reporting under frameworks such as ASIC, EMIR, MiFIR, SFTR, MAS, and other global regimes, be sure to visit our blog for the latest information and discussions. Keeping abreast of these developments not only aids compliance but also empowers your organization in an ever-evolving regulatory landscape.

Your team dedicates immense effort to resolve conflicts, register and manage new matters, all while ensuring adherence to regulatory compliance. Enhance their capabilities with an all-encompassing tool designed to boost their effectiveness and efficiency. By streamlining and standardizing your manual processes for onboarding new business, a versatile workflow engine can be utilized. The implementation of intelligent workflows simplifies compliance with AML and KYC regulations, making the process smoother. Speed up decision-making for new business by generating high-quality, centralized intake data, eliminating the need for cumbersome paper files and tedious review procedures. With a robust form builder, reporting tools, alert triggers, and capabilities for tracking the lifecycle of matters, you can integrate and scale essential policies seamlessly. A conflict management tool should align with your team's working style. Timely evaluations of your firm's potential business relationships demand flexibility and sophisticated analysis. Our Upfront solution delivers thorough due diligence equipped with intelligent filters, allowing for more informed decision-making. Ultimately, this approach not only enhances efficiency but also fosters a culture of informed and responsive business practices.

Our cutting-edge AI-driven software suite stands out as the most effective and precise solution for all compliance requirements related to RIAs and broker-dealers. With our unique ComplianceGPT, the automated marketing review process allows you to upload various document types and obtain compliance suggestions in less than a minute, which can save both you and your marketing team countless hours of communication. Once you've set up employee brokerage accounts, you can benefit from features like automated reporting, pre-clearance, and periodic reviews as needed. We streamline employee onboarding, ensuring that this crucial process is as smooth as possible. Our suite covers everything from political contributions and gifts to outside business activities, as well as updates to your compliance manual and code of ethics. Each employee can easily access their own account through the user-friendly Hadrius interface, making the tasks of reporting and document signing straightforward and efficient. Additionally, our platform is designed to continually evolve, providing you with the latest tools and features to enhance compliance management.

Safeguard your organization with Cybrance's comprehensive Risk Management platform, which allows for efficient oversight of your cybersecurity and regulatory compliance initiatives while effectively managing risk and monitoring controls. Engage with stakeholders in real-time to complete tasks swiftly and effectively, ensuring that your company remains protected. With Cybrance, you have the ability to easily design tailored risk assessments that align with international standards like NIST CSF, 800-171, ISO 27001/2, HIPAA, CIS v.8, CMMC, CAN-CIOSC 104, ISAME Cyber Essentials, and others. Eliminate the hassle of outdated spreadsheets; Cybrance offers collaborative surveys, secure evidence storage, and streamlined policy management to simplify your processes. Stay ahead of your assessment obligations and create organized Plans of Action and Milestones to monitor your advancements. Protect your organization from cyber threats and compliance failures—opt for Cybrance to achieve simple, efficient, and secure Risk Management solutions that truly work for you. Let Cybrance empower your risk management strategy today.

Secure your workloads, streamline adherence to regulations, and ensure data sovereignty with IBM Cloud Secure Virtualization. A reliable cloud infrastructure must address critical concerns regarding corporate governance, security, and compliance. Customers seek to establish a setting where administration, workload performance, and data accessibility are limited to specific geographic locations while maintaining comprehensive audit capabilities. During the setup process, it is essential to determine the firmware settings that will be permitted and the hypervisor settings that have received approval. Carefully catalog each physical host along with its location, generating a snapshot or fingerprint of the launch configuration for each trusted host. This information is compiled into an allowlist. When the BIOS and hypervisor measurements of a host align with those recorded in the allowlist, the boot environment is verified. Consequently, the host is initiated in a state deemed secure and trusted, ensuring the integrity of the cloud environment throughout its operation. By implementing these protocols, organizations can confidently manage their cloud resources while meeting stringent security standards.

Leverage the capabilities of artificial intelligence for rapid and precise data mining in the context of cyber incident response. Canopy's software solutions are specifically designed to uncover personally identifiable information (PII) and protected health information (PHI) hidden within any dataset. With our AI-enhanced processing, you can conduct data mining more swiftly than ever, while enjoying increased confidence in the precision of your evaluations. Whether you are managing personal storage tapes, shared files, or servers, our machine-learning models are adept at pinpointing sensitive information. They have successfully identified billions of PII elements without relying on regular expressions or keyword searches, continually advancing with each project completion. Whether your focus is on reacting to a security breach or proactively addressing potential risks, Canopy's innovative cybersecurity and data privacy solutions are equipped to assist you. Ensure compliance with regulatory and ethical standards for timely notifications in the event of a data breach through efficient data mining, thorough PII reviews, and streamlined entity consolidation processes. This approach not only enhances your incident response capabilities but also fortifies your overall data protection strategy.

Retain Mobile Archiving provides secure, encrypted messaging for iOS and Android devices. Generate and consume data to meet regulatory and compliance requirements--regardless of who owns the device. Retain Mobile allows for carrier-level archiving and retrieval of text messages. This allows you to monitor mobile communication data on your iOS, Android, or other mobile devices connected to the mobile carrier network. This solution is ideal in environments that have corporate-owned devices, BYOD or a combination of both. Retain Mobile ensures that you don't lose any valuable information and that your organization remains compliant. Your organization keeps your sensitive data safe. Administrators, human resources, compliance officers and eDiscovery lawyers can review and audit smartphone user data. Administrators and other users can search and access their personal archives. Users can also search and access archived messages for all users.

RegPass™ serves as a compliance co-pilot designed to amplify your team's effectiveness tenfold. It seamlessly integrates every phase of the regulatory change lifecycle, from horizon scanning to assurance: Horizon Scanning → Rules Inventory → Policies & Controls → Regulatory Policy Advisor. With extensive global coverage and smart Business Profiles that tailor alerts to what matters most, you can remain proactive. Our enhanced Rules Inventory streamlines overlapping obligations into clear, canonical forms for better traceability and understanding. At the core of RegPass is AI, which extracts, ranks, and aligns obligations to your existing policies and controls, providing thorough justification for each recommendation. Every recommendation is well-documented, auditable, and primed for your approval. Developed by the specialists at Braithwate, RegPass encapsulates years of regulatory change knowledge into a dynamic knowledge graph. With its open, extensible, and inherently transparent design, RegPass ensures complete traceability, enabling teams to operate more efficiently, minimize risk, and bolster compliance. By leveraging such a powerful tool, organizations can navigate the complexities of regulatory landscapes with confidence and clarity.

Vixio is a comprehensive platform designed for regulatory intelligence that empowers compliance and legal teams with real-time oversight and management of evolving rules across over 200 jurisdictions and 1,400 regulatory bodies. By integrating expert human insight with AI-enhanced features, the platform offers tools such as horizon scanning, a regulatory library, a global data hub, market evaluations, and a customizable report generator to effectively track legislative and regulatory changes, assess regional requirements, and identify governance risks. In 2025, Vixio introduced Vixio Workspace, an innovative workflow and compliance-management tool that connects regulatory change insights to actionable tasks; this enables compliance teams to develop checklists, delegate responsibilities, collaborate seamlessly, monitor progress through dashboards, manage attestation records, upload supporting documentation, and maintain a comprehensive audit trail, thereby eliminating the need for disorganized spreadsheets and emails. This enhancement further streamlines compliance processes, allowing teams to work more efficiently and with greater accuracy in managing their regulatory obligations.

Proind compliance controller offers a comprehensive web-based solution that enables organizations to effectively grasp, oversee, monitor, and govern their compliance activities on an enterprise scale. By providing an integrated perspective of both statutory and internal compliance requirements, this solution significantly lowers the costs associated with compliance management. PCC serves as a centralized resource for regulatory information, complete with built-in controls that help users recognize their obligations and the relevant risks to their organization. Additionally, it offers management a cohesive, automated overview spanning various jurisdictions, sectors, and regulatory bodies, ensuring adherence to compliance standards. The robust features of PCC are designed to manage all compliance types throughout their entire lifecycle within the organization. Implementing this system can lead to a reduction in fines, penalties, and risks to reputation stemming from non-compliance, ultimately fostering a culture of accountability and diligence within the enterprise.

Wealth-X Diligence offers a distinctive blend of comprehensive insights into individuals across all wealth tiers, catering to organizations aiming to fulfill regulatory obligations and best practice standards while reducing both reputational and commercial risks. Our skilled global research team assists in addressing gaps within your compliance strategy, delivering an extensive evaluation of a client's net worth and the origins of their wealth, ensuring its legitimacy. In light of escalating regulations and a shift towards increased transparency, comprehending the source of wealth has become essential for effective due diligence. Organizations must recognize that the implications of non-compliance extend beyond regulatory fines to encompass significant reputational harm. The Wealth-X Diligence dossier simplifies the due diligence process by offering precise and pertinent information, thus eliminating the clutter that can often accompany such investigations. This streamlined approach not only enhances efficiency but also empowers organizations to make informed decisions with confidence.

Regulatory obligations have not only become burdensome but are also expanding, with new laws becoming increasingly intricate. This rise in complexity has intensified the demands placed on compliance departments, resulting in higher costs and a greater need for qualified personnel. As budgets continue to swell year after year, there is a pressing need to justify these expenses, leading organizations to focus on identifying potential areas for cost reduction. Additionally, recent regulatory changes have heightened the urgency for financial services companies to actively monitor and recognize suspicious behavior, market manipulation, and financial wrongdoing. SteelEye's Trade Surveillance solution, which is adaptable across various asset classes, provides extensive coverage of numerous market abuse scenarios and behaviors, thus allowing firms to enhance their risk detection capabilities, improve oversight, and consistently prove their compliance efforts. By leveraging such tools, organizations can better navigate the evolving regulatory landscape while maintaining efficiency.

Policy Manager's intelligent document management and workflow management software solution automates policy review, approval, and attestation across your organization. The policy management software's automated tracking features and reporting feature ensure compliance with regulatory and audit requirements. It is easy to use and simple to manage. MCN's Policy Management Software allows your staff to easily access the most recent policies and procedures through our powerful search functionality. Manager-assigned competencies track the knowledge of your staff about policies and procedures.

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.

Trustwise is a comprehensive API designed to harness the full potential of generative AI in a secure manner. While contemporary AI technologies are immensely powerful, they often face challenges regarding compliance, bias, data security, and managing costs. Trustwise offers a streamlined, industry-specific API that promotes trust in AI, aligning business goals with cost-effectiveness and ethical practices across various AI tools and models. By utilizing Trustwise, organizations can confidently push the boundaries of innovation with AI. Developed over two years in collaboration with top industry experts, our platform guarantees the safety, strategic alignment, and cost efficiency of your AI projects. It actively works to reduce harmful inaccuracies and safeguards sensitive data from unauthorized access. Additionally, Trustwise maintains thorough audit records to facilitate learning and improvement, ensuring traceability and accountability in all interactions. It promotes human oversight in AI decision-making while supporting continuous adaptation of systems to enhance performance. With integrated benchmarking and certification aligned with NIST AI RMF and ISO 42001, Trustwise stands at the forefront of responsible AI implementation. This ensures that organizations can navigate the complexities of AI deployment with confidence and integrity.

Flex Databases is an innovative, unified, and compliant electronic clinical platform that provides software solutions for clinical trials: pharmaceutical companies and CROs. Our system is composed of: - Clinical Trial Management System - Electronic Trial Master File - Project Management & Budgeting solution specifically designed for the clinical trials industry - Pharmacovigilance System - Learning Management System It was possible to create a flexible platform thanks to our unique experience and a qualified team of more than 100 professionals with a deep understanding the clinical trial process.

Whether you're regulated by the SEC or FINRA, CFTC or IIROC, Patrina’s TOTALARCHIVETM digital communications archiving solution meets the strict requirements of your regulating authority. Our archiving solutions are perfectly aligned with the strict mandates of your regulatory authority. Patrina gives you the tools to: Access your communications quickly and easily with Capture, Supervise Archives. Respond quickly and efficiently when an examiner asks for information. Reduce the risk of non-compliant communication. Easy and quick onboarding No automatic renewal of annual contracts No unexpected price increases You can find the solutions you need for regulatory compliance. When you need them. As long as you require it No fluff. No fat. Just powerful muscle of compliance.

Greenboard is an innovative, cloud-based platform that harnesses AI to serve as a comprehensive operating system for regulatory compliance tailored to the requirements of financial firms governed by the SEC and FINRA. By merging various often-disparate tools into a cohesive dashboard, it efficiently manages essential functions such as archiving, supervision of communications, compliance workflows at both the firm and employee levels, vendor compliance, marketing content assessments, trade testing, and meticulous record-keeping that is audit-ready. Utilizing its proprietary “Greenboard Go” AI engine, which seamlessly integrates with all data within the firm, it proactively identifies risks, highlights compliance discrepancies, and aids in maintaining uniform internal policies. The platform's user interface and underlying architecture prioritize both usability and security, incorporating role-based access controls, robust data infrastructure, and adherence to SOC2-Type 2 standards to protect data privacy and ensure compliance with regulatory requirements. Furthermore, this comprehensive approach not only streamlines operations but also fortifies the organization’s defenses against potential compliance violations.

Diligent Workflow stands out as a premier solution in the market, aimed at enhancing the secure oversight, validation, compliance, and storage of sensitive or regulatory documents. Through the automation of document and media production, it significantly boosts the efficiency of various project management tasks, including approval, distribution, archiving, and maintaining a comprehensive audit trail for policy documents, contracts, RFPs, and public-facing materials. Discover how the capabilities of Diligent Workflow can streamline your approval processes, leading to greater efficiency and transparency in both document and content generation. By implementing this solution, organizations can expect to see a notable transformation in their workflow practices.