Proofpoint SupervisionProofpoint
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Related Products
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About
Proofpoint Intelligent Supervision is a digital communications governance solution that enables organizations to monitor, review, and report on employee communications to meet strict regulatory compliance requirements. It uses machine learning, natural language processing, and contextual message analysis to help compliance teams identify potential violations across email, social media, instant messaging, and collaboration tools. It streamlines supervisory workflows by reducing low-risk noise through intelligent sampling, advanced filtering, and violation previews so reviewers can focus on high-risk content more efficiently. It provides rich dashboards and real-time alerts that highlight compliance risks, track reviewer productivity, and expose bottlenecks in the review process, giving organizations full visibility into supervision activities.
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About
Smartria is RIA compliance software designed to help registered investment advisors, chief compliance officers, and compliance consultants centralize and automate SEC and FINRA compliance programs. The platform comes pre-configured for relevant regulatory requirements while allowing firms to customize workflows and processes to their specific compliance needs. Compliance management features organize tasks, forms, deadlines, alerts, reminders, regulatory filings, and record retention within a centralized system. Smartria also provides marketing review workflows, employee attestations, trade monitoring, vendor management, employee oversight, and automated employee onboarding. Trade monitoring supports customized trade rules, pre-clearance, front-running alerts, and Know Your Client and Know Your Employee requirements.
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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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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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Audience
Compliance and risk teams in highly regulated industries that need automated supervision of employee communications to meet regulatory requirements
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Audience
Registered investment advisors, chief compliance officers, compliance teams, wealth management firms, and compliance consultants that need to manage, automate, document, and scale SEC and FINRA compliance programs
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Support
Phone Support
Supported
24/7 Live Support
Supported
Online
Supported
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Support
Phone Support
Supported
24/7 Live Support
Not Supported
Online
Not Supported
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API
Offers API
Not Supported
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API
Offers API
Not Supported
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Screenshots and Videos |
Screenshots and Videos |
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Pricing
No information available.
Free Version
Not Supported
Free Trial
Not Supported
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Pricing
No information available.
Free Version
Not Supported
Free Trial
Not Supported
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Reviews/
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Reviews/
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Pros & Cons from Real UsersPros
Cons
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Training
Documentation
Supported
Webinars
Supported
Live Online
Supported
In Person
Not Supported
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Training
Documentation
Supported
Webinars
Not Supported
Live Online
Supported
In Person
Not Supported
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Company InformationProofpoint
Founded: 2002
United States
www.proofpoint.com/us/products/digital-communications-governance
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Company InformationSmartria
Founded: 2011
United States
smart-ria.com
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Categories |
Categories |
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Compliance Features
Archiving & Retention
Supported
Artificial Intelligence (AI)
Not Supported
Audit Management
Supported
Compliance Tracking
Not Supported
Controls Testing
Not Supported
Environmental Compliance
Not Supported
FDA Compliance
Not 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
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Integrations
No info available.
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Integrations
No info available.
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