Built for your firm. Priced to match.

SurgeONE is a modular platform — firms select the pillars and modules that fit their regulatory profile, size, and risk surface. Pricing is scoped to your deployment. Talk to us to get a fit.

Compliance

SurgeONE Compliance

End-to-end compliance management with audit-ready records and trusted evidence across the firm.
AI-Powered Policies & Procedures Management
Regulatory Intelligence & Change Management
Exam & Audit Readiness
Vendor Risk Management & Due Diligence
AI-Powered Marketing Review & Supervisory Compliance
Employee compliance, Certifications & Compliance Training
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Cybersecurity

SurgeONE Cyber

Continuous cyber oversight with endpoint, application, and communications risk visibility
Device Compliance & Endpoint Posture Management
Application Governance & Shadow IT Detection
Electronic Communications Supervision
Data Privacy & PII Protection
Identity-Aware Access Control & TrustGate
Cyber Operations & Incident Response
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Data & Integration

SurgeONE Data

Connect, normalize, and govern enterprise data from a single platform.
Enterprise Data Hub & Unified Data Layer
AI-Powered Data Modeling
Data Mesh Architecture
Intelligent Data Mapping & Transformation
Real-Time Integration & Synchronization
Automation, Governance & Operational Intelligence
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AI Governance

SurgeONE AI Governance

Enterprise AI governance with transparent decisions, immutable audit trails, and compliance evidence.
AI Policy review and remediation
Centralized AI Activity Dashboard
AI Application Monitoring & Management
AI data leakage monitoring and prevention
Regulatory Enforcement Context
Human-in-the-Loop Override
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Compliance Services

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Broker/Dealer Compliance - Risk management and compliance solutions tailored to your firm's needs.
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Investment Advisor Services - Regulatory guidance for advisors, fund managers, and exempt reporting advisors.
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Professional Development - Training programs that build a compliance-ready team.
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Litigation Support - Expert witness testimony and counsel for securities and FINRA matters.
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MGL Sentinel Program - Proactive access to senior compliance and legal professionals.
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Cybersecurity Services

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Core Protection - Hardware monitoring, patch management, and incident response for your computers.
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Proactive Protection - Antivirus, web filtering, and phishing simulations to keep your staff safe.
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Comprehensive Security - Security policies, compliance reporting, and annual reviews for your business.
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Mobile Device Protection - End-to-end security coverage across all mobile endpoints.
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Security Consulting - Expert discovery, benchmarking, and customized security planning for your needs.
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Data and AI Services

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Data Migration Services - Analysis, mapping, configuration, execution, and validation for seamless data migration.
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Tool Integration Services - Source and target configuration, data mapping, sync support, and custom reporting.
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Data Aggregation & Management - Multi-tool data consolidation and cleansing into a centralized data hub.
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AI Governance & Compliance - Policy review, regulatory enforcement, and human-in-the-loop controls.
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Shadow AI Discovery & Risk Management - Detect unauthorized AI, prevent data leakage, and centralize visibility.
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Put your entire regulatory operation on one platform.

Our team will scope a deployment built around your firm's structure, regulator, and risk profile — not a preset tier. No black boxes, no surprises.

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Explore the platform

The system of record for AI-era compliance. One platform unifying compliance, cybersecurity, data, and AI governance for SEC, FINRA, and state-regulated firms.

Platform

Compliance
Cybersecurity
Data & Integration
AI Governance

Teams

MGL Consulting
Security Snapshot
Kovair Software

Company

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Resources
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1300 El Camino Real, Suite 100, Menlo Park, CA 94025  · +1 650-294-8889 · info@surgeone.ai
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