RIA in a BoxCOMPLY
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Related Products
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About
Ethisphere provides data-driven solutions, assessments, benchmarking, communities, and recognition programs that help organizations understand, manage, and improve ethics, compliance, governance, risk, and ethical culture. Its offerings are built around defining and advancing standards of ethical business practices, using insights from leading companies to help teams strengthen corporate character, marketplace trust, and business success. Through tools such as the Ethics Quotient, organizations can evaluate the elements of an effective ethics and compliance program, benchmark practices against the World’s Most Ethical Companies, and identify practical opportunities for improvement. Ethisphere’s Compliance Leader Verification process provides a rigorous review of an organization’s ethics and compliance program and corporate culture, including document review, executive and stakeholder interviews, benchmarking, and evaluation across areas such as program resources and structure.
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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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Platforms Supported
Windows
Mac
Linux
Cloud
On-Premises
iPhone
iPad
Android
Chromebook
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Platforms Supported
Windows
Mac
Linux
Cloud
On-Premises
iPhone
iPad
Android
Chromebook
|
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Audience
Ethics, compliance, governance, and risk leaders who need benchmarking, program assessment, verification, and best-practice guidance to strengthen corporate integrity
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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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Support
Phone Support
24/7 Live Support
Online
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Support
Phone Support
24/7 Live Support
Online
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API
Offers API
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API
Offers API
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Screenshots and Videos |
Screenshots and Videos |
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Pricing
No information available.
Free Version
Free Trial
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Pricing
No information available.
Free Version
Free Trial
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Reviews/
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Reviews/
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Training
Documentation
Webinars
Live Online
In Person
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Training
Documentation
Webinars
Live Online
In Person
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Company InformationEthisphere
United States
ethisphere.com
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Company InformationCOMPLY
United States
www.comply.com/products/ria-in-a-box/
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Categories |
Categories |
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Integrations
No info available.
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Integrations
No info available.
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