Compliance software for RIAs and broker-dealers
Archiving, compliance programs and marketing review.
Compliance vendors
- ACA GroupCompliance consulting, managed services and software for investment firms.
- COMPLYCompliance software and services suite for RIAs, wealth managers and broker-dealers.
- Global RelayMessage archiving and surveillance service for regulated financial firms.
- GreenboardAI-based compliance platform for SEC- and FINRA-regulated financial firms.
- HadriusAI-based compliance platform for SEC- and FINRA-regulated firms.
- MyComplianceOfficeCompliance software for employee trading, conflicts and regulatory obligations.
- SaifrAI tools for marketing review, adverse-media screening and communications surveillance.
- SmarshCommunications compliance software covering capture, archiving, surveillance and discovery.
- SmartriaCloud compliance management software for registered investment advisers.