Six modules cover the full compliance lifecycle for RIAs and broker-dealers, from audits and WSPs to trade oversight and marketing review. All of it runs on one data fabric, with experienced compliance professionals reviewing where it counts.
Audits, attestations and WSPs in one compliance monitoring view, with gaps surfaced before an examiner finds them.
Buy any compliance module on its own or run the whole pillar. Every module shares one data fabric and one audit trail.
Run internal compliance audits and collect attestations without spreadsheet sprawl. SurgeONE surfaces gaps before an examiner does and keeps a complete, time-stamped audit trail of every action and approval.
Who it's for: CCOs and compliance teams at RIAs and broker-dealers preparing for SEC and FINRA exams.
Tie your written supervisory procedures (WSPs) to real regulatory rules. When an SEC, FINRA or state rule changes, SurgeONE alerts you and shows exactly which WSP needs to change. Regulatory change management, without the annual scramble.
Who it's for: Compliance officers maintaining WSP libraries across multiple jurisdictions.
Track employee personal trading and conduct in one place. Pre-clearance, restricted lists and code of ethics attestations are automated, so insider-risk violations surface early instead of in an exam finding.
Who it's for: RIAs and broker-dealers supervising employee trading and personal account activity.
Powered by Avery AI, SurgeONE scans websites, emails and presentations for regulatory red flags and disclosure gaps. Marketing stays compliant with the SEC Marketing Rule [and FINRA Rule 2210, if supported] at the speed content actually moves, with expert review where it matters.
Who it's for: Marketing and compliance teams reviewing advisor content under the SEC Marketing Rule..
Every regulatory deadline, filing and recurring task in one shared compliance calendar, 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 compliance workflows: no code, no waiting on a vendor. Built-in analytics turn captured data into board-ready insight.
Who it's for: Teams that need to track firm-specific items beyond standard modules.
Walk through the modules that fit — no bundle required.
The regulatory record for financial services. One platform unifying compliance, cybersecurity, data, and AI governance for regulated financial firms.
![SurgeONE SOC 2 [Type II] report, AICPA](https://cdn.prod.website-files.com/67f63b13deda8292f01f2b7a/680b67fb8c5b79c60a4f7d6d_SOC_CPA_Blue-txt.webp)
