Diligent WorkflowDiligent
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RIA in a BoxCOMPLY
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Related Products
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Diligent Workflow:
About
Diligent Workflow is a market-leading workflow solution designed to streamline secure management, approval, compliance and storage of sensitive or regulatory documents. By automating document and media creation, Diligent Workflow improves efficiencies in project management, approval, distribution, archiving and audit trail of all your policy documents, contracts, RFPs and external-facing content and announcements. See how Diligent Workflow’s features can automate your approval processes to improve efficiency & transparency in document and content creation.
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RIA in a Box:
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.
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Diligent Workflow:
Platforms Supported
Windows
Not Supported
Mac
Not Supported
Linux
Not Supported
Cloud
Supported
On-Premises
Not Supported
iPhone
Supported
iPad
Supported
Android
Not Supported
Chromebook
Not Supported
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RIA in a Box:
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
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Diligent Workflow:
Audience
Companies that need a workflow solution for secure management, approval, compliance and storage of sensitive or regulatory documents
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RIA in a Box:
Audience
Compliance officers and operations teams seeking a solution to manage every facet of regulatory compliance, from filings and supervision to communications and cybersecurity
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Diligent Workflow:
Support
Phone Support
Not Supported
24/7 Live Support
Supported
Online
Not Supported
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RIA in a Box:
Support
Phone Support
Supported
24/7 Live Support
Not Supported
Online
Supported
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Diligent Workflow:
API
Offers API
Not Supported
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RIA in a Box:
API
Offers API
Supported
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Diligent Workflow:
Screenshots and Videos |
RIA in a Box:
Screenshots and Videos |
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Diligent Workflow:
Pricing
No information available.
Free Version
Not Supported
Free Trial
Not Supported
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RIA in a Box:
Pricing
No information available.
Free Version
Not Supported
Free Trial
Not Supported
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Diligent Workflow:
Reviews/
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RIA in a Box:
Reviews/
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Diligent Workflow:
Training
Documentation
Supported
Webinars
Supported
Live Online
Supported
In Person
Supported
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RIA in a Box:
Training
Documentation
Supported
Webinars
Supported
Live Online
Supported
In Person
Supported
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Diligent Workflow:
Company InformationDiligent
Founded: 1994
United States
www.diligent.com/landing-pages/workflow
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RIA in a Box:
Company InformationCOMPLY
United States
www.comply.com/products/ria-in-a-box/
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Diligent Workflow:
Alternatives |
RIA in a Box:
Alternatives |
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Diligent Workflow:
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RIA in a Box:
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Diligent Workflow:
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RIA in a Box:
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RIA in a Box:
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RIA in a Box:
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Diligent Workflow:
Categories |
RIA in a Box:
Categories |
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Diligent Workflow:
Board Management Features
Agenda Time Management
Not Supported
Approval Process Management
Supported
Board Assessment
Not Supported
Calendar Management
Supported
Collaboration
Supported
D&O Questionnaires
Not Supported
Document Management
Supported
Electronic Signature
Not Supported
For Nonprofits
Supported
Member Directory
Supported
Minutes Management
Not Supported
Polls / Voting
Not Supported
Role-Based Permissions
Supported
Roles and Terms
Not Supported
Single Sign On
Not Supported
Skills Tracking
Not Supported
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Diligent Workflow:
Integrations
No info available.
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RIA in a Box:
Integrations
No info available.
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Diligent Workflow:
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RIA in a Box:
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