When the exam comes, SurgeONE is the record you answer from. Compliance, cyber, data, and AI - governed in one system, with exam-ready evidence built into every workflow. Powered by Avery AI.
AI is already embedded across the tools advisors and employees use. Regulators have moved from "show me your policies" to "show me how your people — and your AI — actually behave." That needs more than another workflow tool.
Start with a single module and expand across the platform. Everything shares the same data, context, and audit trail — reducing the integrations and reconciliation between regulatory workflows.
Audits, WSP management, trade oversight, marketing review, and the compliance calendar — with expert sign-off.
Vendor due-diligence, endpoint monitoring, and cyber risk dashboards — inspection-grade evidence, always ready.
110+ adapters feed one compliance data lake, powering reporting, peer benchmarks, and weekly insights.
Monitor, document, and defend how AI is used across your firm — the model regulators now expect.
SurgeONE doesn't run on generic guidance. Its intelligence is grounded in decades of real exam, enforcement, and expert-review experience — so it explains not just what to do, but why it survives an examiner's scrutiny.
That's the line between software that's merely smart and evidence your team can explain and defend.
SurgeONE was built by bringing specialist compliance, cyber, and data practices into a single company. They're not vendors you get handed off to — they're SurgeONE teams, and their decades of expertise are built directly into the platform.
Our compliance practice — former regulators and experienced professionals whose exam and enforcement insight powers the Compliance pillar.
Explore Compliance →Our cyber practice — professionals who've secured thousands of endpoints, powering the Cybersecurity pillar.
Explore Cybersecurity Expertise →Our data-engineering practice — enterprise-grade integration powering the Data pillar and OmnibusX.
Explore Data & Integration Capabilities →
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Compliance, cyber, data, and AI governance — unified, AI-native, and exam-ready. See it on your firm's terms.
The regulatory record for financial services. One platform unifying compliance, cybersecurity, data, and AI governance for regulated financial firms.
