Getting Started

With decades of technology, financial services and compliance expertise, our team will efficiently help you transform your manual and/or disconnected processes into our fully integrated platform enabling your team, regardless of how large or small, optimize its program quickly and completely.


As part of our process, your dedicated on-boarding team will help you:

  • Tailor your business processes,
  • Define your firm’s distribution and approval groups and hierarchical relationships,
  • Establish your compliance calendar’s testing, certifications and risk management framework and
  • Replace hardcopy documents and processes through our integrated Forms Studio and Employee Launch portal


Once your initial business processes are configured, you’ll start to realize efficiency gains related to:

  • Productivity; using automated processing rules for review and approval workflows
  • Scalability; providing readily available tools for your team to create new ad-hoc tests, forms, quizzes, templates and application views as your needs evolve
  • Reporting; with analyzation tools and regulatory audit-ready exports at your fingertips


By virtue of our integrated yet flexible rules-based compliance technology platform, you can quickly and cost-effectively extend services as your needs evolve. We support:

  • Open application programming interfaces (APIs) ease data and software integration with other systems
  • Single Sign On
  • Two Factor Authentication
  • Verifiable audit trails of actions across the platform
  • SEC Rule 17(a)-4 Compliant Recordkeeping
  • SSAE16/ISO 27001-compliant global data centers and failsafe enterprise-class servers