OtterBlotterGreenFlow Technology, Inc.
|
||||||
Related Products
|
||||||
About
COMPLY is a modern compliance management platform built specifically for financial services firms. It centralizes regulatory requirements, automates manual workflows, and helps firms stay ahead of evolving regulations. By uniting data, solutions, services, and education, COMPLY empowers compliance teams to scale operations efficiently while reducing regulatory risk. The platform supports a range of functions—from regulatory filings and policy reviews to managed services—acting as an extension of your team. Designed for private funds, broker-dealers, wealth managers, investment banks, and more, COMPLY ensures firms operate in the best interest of investors and clients. With its easy-to-use interface and expert support, COMPLY delivers confidence, clarity, and control over compliance programs.
|
About
OtterBlotter is a post-trade sales-supervision blotter review tool for broker-dealers. It applies configurable trade-review rules to identify potential issues in executed trades, providing a structured quantitative review to complement a firm's qualitative supervisory review. Compliance and supervisory staff can use flagged issues for follow-up and produce blotter-review reports and supporting documentation for supervisory workflows. The product focuses on reviewing trade blotter data after execution. Its stated audience includes broker-dealers and clearing firms, including retail broker-dealers, and its rules can be configured to fit firms' review needs. OtterBlotter is presented as a live online product for teams conducting post-trade reviews. Firms retain responsibility for their own supervisory decisions and applicable recordkeeping.
|
|||||
Platforms Supported
Windows
Not Supported
Mac
Not Supported
Linux
Not Supported
Cloud
Supported
On-Premises
Not Supported
iPhone
Not Supported
iPad
Not Supported
Android
Not Supported
Chromebook
Not Supported
|
Platforms Supported
Windows
Not Supported
Mac
Not Supported
Linux
Not Supported
Cloud
Supported
On-Premises
Not Supported
iPhone
Not Supported
iPad
Not Supported
Android
Not Supported
Chromebook
Not Supported
|
|||||
Audience
Financial services firms—including RIAs, broker-dealers, private funds, and investment banks—seeking a scalable, technology-driven compliance management solution with integrated expert support
|
Audience
Small to mid size retail broker-dealers
|
|||||
Support
Phone Support
Supported
24/7 Live Support
Not Supported
Online
Not Supported
|
Support
Phone Support
Supported
24/7 Live Support
Not Supported
Online
Supported
|
|||||
API
Offers API
Not Supported
|
API
Offers API
Not Supported
|
|||||
Screenshots and Videos |
Screenshots and VideosNo images available
|
|||||
Pricing
No information available.
Free Version
Not Supported
Free Trial
Not Supported
|
Pricing
No information available.
Free Version
Not Supported
Free Trial
Supported
|
|||||
Reviews/
|
Reviews/
|
|||||
Training
Documentation
Supported
Webinars
Supported
Live Online
Supported
In Person
Supported
|
Training
Documentation
Supported
Webinars
Not Supported
Live Online
Supported
In Person
Supported
|
|||||
Company InformationCOMPLY
United States
www.comply.com
|
Company InformationGreenFlow Technology, Inc.
Founded: 2009
United States
www.greenflowtech.com
|
|||||
Alternatives |
Alternatives |
|||||
|
|
|
|||||
|
|
|
|||||
Categories |
Categories |
|||||
Compliance Features
Archiving & Retention
Supported
Artificial Intelligence (AI)
Not Supported
Audit Management
Supported
Compliance Tracking
Supported
Controls Testing
Not Supported
Environmental Compliance
Not Supported
FDA Compliance
Supported
HIPAA Compliance
Not Supported
Incident Management
Not Supported
ISO Compliance
Not Supported
OSHA Compliance
Not Supported
Risk Management
Supported
Sarbanes-Oxley Compliance
Not Supported
Surveys & Feedback
Not Supported
Version Control
Not Supported
Workflow / Process Automation
Not Supported
|
||||||
Integrations
No info available.
|
Integrations
No info available.
|
|||||
|
|
|