Ascent

Ascent

Ascent RegTech
+
+

Related Products

  • Predict360
    18 Ratings
    Visit Website
  • Haast
    4 Ratings
    Visit Website
  • RegDesk
    19 Ratings
    Visit Website
  • Captain Compliance
    246 Ratings
    Visit Website
  • Interfacing Integrated Management System (IMS)
    66 Ratings
    Visit Website
  • Sumsub
    226 Ratings
    Visit Website
  • ServoDesk
    25 Ratings
    Visit Website
  • Nasdaq Metrio
    14 Ratings
    Visit Website
  • Hyperproof
    346 Ratings
    Visit Website
  • SDS Manager
    4 Ratings
    Visit Website

About

Regulatory monitoring, made simple. View, search, and organize regulatory content from around the world, all in one place. Monitor and prioritize regulatory changes that apply to your business. Rule Updates, Filings, Proposals and Amendments are all included, so you’ll never be surprised by a new or updated rule. See documents organized by industry-standard themes (such as cybersecurity or AML) or by your own custom themes. Work the way you want for clearer insights into emerging regulatory trends. Mark documents and assign them to teammates for review. Create and manage your own obligations so you can track work and ensure completion. All rule updates, guidance notes, speeches and other regulatory documents are consolidated in one place. Documents are organized by key regulatory themes to reflect how Risk and Compliance Officers actually work. Save 20+ hours per regulation in monitoring rule changes. Ascent surfaces the information you care about.

About

RIA in a Box is a comprehensive, all-in-one compliance management platform purpose-built for Registered Investment Advisers (RIAs) to streamline and oversee their regulatory obligations under both SEC and state regimes. It consolidates essential compliance workflows into a unified interface, offering a pre-populated, customizable compliance calendar and log with best-practice guidance; automated support for registration and regulatory filings, including preparation of Form ADVs and key documents like Codes of Ethics; comprehensive communications archiving across emails, social media, and websites with powerful filtering and review; guided annual review processes aligned with SEC Rule 206(4)-7; structured risk assessments tied to compliance policies; oversight tools for employee activities, including trading, outside business activity, and attestations; and a built-in cybersecurity compliance module based on the NIST framework that covers vendor due diligence.

Platforms Supported

Windows
Mac
Linux
Cloud
On-Premises
iPhone
iPad
Android
Chromebook

Platforms Supported

Windows
Mac
Linux
Cloud
On-Premises
iPhone
iPad
Android
Chromebook

Audience

Organizations that need a regulatory compliance solution

Audience

Compliance officers and operations teams seeking a solution to manage every facet of regulatory compliance, from filings and supervision to communications and cybersecurity

Support

Phone Support
24/7 Live Support
Online

Support

Phone Support
24/7 Live Support
Online

API

Offers API

API

Offers API

Screenshots and Videos

Screenshots and Videos

Pricing

No information available.
Free Version
Free Trial

Pricing

No information available.
Free Version
Free Trial

Reviews/Ratings

Overall 0.0 / 5
ease 0.0 / 5
features 0.0 / 5
design 0.0 / 5
support 0.0 / 5

This software hasn't been reviewed yet. Be the first to provide a review:

Review this Software

Reviews/Ratings

Overall 0.0 / 5
ease 0.0 / 5
features 0.0 / 5
design 0.0 / 5
support 0.0 / 5

This software hasn't been reviewed yet. Be the first to provide a review:

Review this Software

Training

Documentation
Webinars
Live Online
In Person

Training

Documentation
Webinars
Live Online
In Person

Company Information

Ascent RegTech
Founded: 2015
United States
www.ascentregtech.com

Company Information

COMPLY
United States
www.comply.com/products/ria-in-a-box/

Alternatives

Alternatives

Luthor

Luthor

Luthor.ai

Categories

Categories

Integrations

Onspring
Tyro EFTPOS

Integrations

Onspring
Tyro EFTPOS
Claim Ascent and update features and information
Claim Ascent and update features and information
Claim RIA in a Box and update features and information
Claim RIA in a Box and update features and information