Features
One platform. Every compliance workflow.
Each app shares the same regulatory knowledge base, the same audit-grade citation system, and the same identity & RBAC layer.
01
Policy Drafting
Draft compliance policies and SOPs with citations to live regulatory text retrieved via RAG. Export to DOCX with house formatting.
AI-assisted policy & procedure generation grounded in regulation.
02
Regulatory Monitor
Monitors 20+ regulator feeds continuously. When rules change, the agent maps the impact to your existing policies and drafts the proposed amendment for your review.
AI agent that detects rule changes and proposes policy updates.
03
Trade Surveillance
Continuous surveillance pipelines flag wash trades, layering, and other patterns. Dispositions remain in your vendor system; we capture the audit trail.
Flag suspicious trading patterns with exception reporting.
04
Trade Idea Monitoring
Match trade idea timestamps against research publication windows to flag potential MNPI usage and feed compliance review.
Flag trade ideas placed near research reports.
05
Regional Reporting
Generate regulator-ready reports per jurisdiction with carry-forward of previous periods and structured exceptions.
Automated compliance reports across jurisdictions.
06
Regulatory Newsletter
Curated rule changes, enforcement actions, and consultation papers — with on-the-article Q&A grounded on full source text.
Weekly curated regulatory updates with AI summaries.
07
Mandatory Training
Assign training, run exams, and export audit-ready evidence packs for regulators.
Training programs with exam tracking and exportable evidence.
08
Incident Logging
Structured incident capture with classification, ownership, root-cause, and immutable audit trail.
Capture, classify, and audit incidents end-to-end.
09
Marketing Review
Detect prohibited language, missing disclosures, and disclaimer issues before materials go out the door.
AI-powered review of marketing materials.
10
Staff Dealing
Reconcile staff brokerage statements against approval workflows and flag policy breaches automatically.
Personal trading reconciliation and policy enforcement.
11
Regulatory Exam Prep
Practice exam questions with structured grading and personalised remediation focus.
Practice with AI grading and detailed feedback.
