OtterBlotter

OtterBlotter

GreenFlow Technology, Inc.
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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 Videos

No 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/Ratings

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

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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 Supported
Webinars Supported
Live Online Supported
In Person Supported

Training

Documentation Supported
Webinars Not Supported
Live Online Supported
In Person Supported

Company Information

COMPLY
United States
www.comply.com

Company Information

GreenFlow Technology, Inc.
Founded: 2009
United States
www.greenflowtech.com

Alternatives

Alternatives

OtterBlotter

OtterBlotter

GreenFlow Technology, Inc.
OTC Link ATS

OTC Link ATS

OTC Markets

Categories

Compliance Supported

Categories

Trade Surveillance Supported

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.
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Claim COMPLY and update features and information
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