AI is already in your firm — in note-takers, copilots, and research tools. AI governance is how you bring that use into a system you can monitor, document, and defend the moment a regulator asks.
Audits, attestations, and WSPs in one view — with gaps surfaced before an examiner finds them.
Buy any module on its own, or run the whole pillar. All of it shares one data fabric and one audit trail.
Run internal audits and collect attestations without the spreadsheet sprawl. The platform surfaces gaps before an examiner does and keeps a complete, time-stamped history of every action and approval.
Who it's for: CCOs and compliance teams preparing for SEC / FINRA exams.
Tie your written supervisory procedures to real regulatory rules. When a rule changes, the platform alerts you and shows exactly which WSP needs to change — no more annual scramble.
Who it's for: Compliance officers maintaining WSP libraries across multiple jurisdictions.
Track personal trading and employee conduct in one place. Pre-clearance, restricted lists, and attestations are automated, so insider-risk violations surface early instead of in an exam finding.
Who it's for: Firms supervising employee trading and personal account activity.
Avery AI scans websites, emails, and decks for regulatory red flags and disclosure gaps — keeping marketing compliant at the speed content actually moves, with principal review where it matters.
Who it's for: Marketing and compliance teams reviewing advisor content under the Marketing Rule.
Every regulatory deadline, filing, and recurring task in one shared view — so nothing slips through, and the whole team sees what's due and what's done.
Who it's for: Compliance teams managing filing calendars and recurring obligations.
Capture audit notes, regulator requests, and issue logs in fully customizable workflows — no code, no waiting on a vendor. Powerful analytics turn captured data into board-ready insight.
Who it's for: Teams that need to track firm-specific items beyond standard modules.
Expert compliance services led by ex-regulators and licensed principals. The software does the heavy lifting; experienced professionals review where it matters most.
Walk through the modules that fit — no bundle required.