Scalable Regulation Technology
Gain consistent, customizable, and configurable surveillance of advisors, client accounts, and transactions every day.
Extensive Test Library
Access to hundreds of customizable compliance tests to strengthen and support your regulatory policies.
One-View Dashboards
Get a holistic compliance view with alerts sorted by jurisdiction, business unit, advisor, account type, or product.
Proactive Surveillance
Monitor all transactions, portfolios, and accounts with alerts for further analysis or escalation.
Efficient Case Management
Streamline workflows from issue identification to resolution with searchable archives, full audits, and proactive notifications.
Hear from Our Clients: Real Results,
Real Impact
We are able to easily evidence supervision and how we execute or WSP’s to FINRA and the SEC during yearly examinations.
With the compliance tests, we were able to detect one of our advisors who was front running her clients. The tests are highly effective and allow for customization.
As a growing TAMP, we've finally been able to implement and scale our trade and account surveillance program as more advisors join our firm.
We've been using this solution for over 6 years and have found that access to regulatory subject matter expertise, along with excellent client care, truly sets it apart.
This platform has become a cornerstone of our investment suitability and REG BI program, allowing us to accurately identify account drift, accounts with over-concentration issues, and unsuitable investments. It has been a game changer.
Comprehensive coverage.
Rapid implementation.
Immediate value.
Tailored for RIAs, broker-dealers, and hybrid firms of all sizes and complexities.
From day one, your compliance team will have access to account and transaction blotters, along with user-customized compliance tests.
Data Agnostic
Seamlessly gather data across custodians, clearing firms, CRMs, and systems of record.
Supports Key Regulations
Supports FINRA, SEC, CIRO, and AML/Bank Secrecy Act regulations.
Enterprise-Grade Security
Hosted in secure data centers with advanced security protocols for maximum protection.
Configurable Framework
Enhance productivity with plugins for verification, householding, task management, and reporting.
Modularized Compliance Offerings
Choose from seven compliance offerings to support your firm’s specific needs.
Digital Message Surveillance
Employ customizable surveillance and archiving of email, social media, and corporate communications, ensuring 17a-4 compliance.
User-defined message evaluation includes keyword lexicons, security symbols, and customizable black/white lists for specific advisor and branch reviews.
Employee Trade & Activity Monitoring
Monitor trading activity and positions in employee accounts at other institutions, including trade pre-clearance, outside business activities, gifts and entertainment, and political contributions, with robust attestation and reporting features.
Senior & Vulnerable Investor Surveillance
Supervise elderly and vulnerable investor accounts with enhanced monitoring for sudden value changes, suspicious activities, and potential account takeovers.
Advisor or Registered Representative Supervisory
Support FINRA and SEC requirements for Advisor or RR transaction monitoring, position surveillance, and support for account household, breakpoint, and commission/fee analysis.
Investment Suitability
Identifies client accounts that have deviated from their risk objectives and supports the Care Obligation of Regulation Best Interest (Reg BI) by highlighting investment concentration, diversification, time horizon, and age suitability issues.
Anti-Money Laundering & Transaction Monitoring
Enhance coverage of wire transfers, asset movements, "travel rule," and "structuring" surveillance. Take advantage of Section 314(a) to support and utilize a matching algorithm for proactive watch and sanctions list screening.
Market Manipulation Surveillance
Supports Regulation National Market System (Reg NMS) compliance to help identify instances of market manipulation like spoofing, layering, front-running, and non-beneficial change of ownership.
Powerful Plugins
Investor Account Due Diligence
Strengthen investor account verification and meet FinCEN due diligence requirements with ease.
Householding Manager
Create and manage investor account households.
Task & Case Manager
Manage and track tasks, cases, and customer complaints with detailed audit and reporting features.
Reporting
Customizable reporting engine that leverages your books and records data.
Black Diamond Insights
Deliver Excellence at Every Corner of Your Business
