RIMExpert

RIMExpert

AMPLEXOR
+
+

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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.

About

RIMExpert™ addresses regulatory planning, tracking and data management by managing the global rollout plans and automating the creation of regulatory applications, activities and medicinal products, RIMExpert™ reduces data entry needs, improving data quality and increasing global oversight and control. Standardize regulatory planning, tracking and registration management processes. Strengthen collaboration between headquarter(s) and affiliates. Create one common place to work in all registration activities. Having one access point to all activities, questions, commitments, correspondence and authorizations for every application. Synchronize efforts for maximum efficiency of enterprise regulatory resources. Control registration activities throughout the lifecycle of the product keeping abreast of timelines and status of commitments and agency questions. Interactive dashboards for actionable regulatory activities and registrations overview.

Platforms Supported

Windows
Mac
Linux
Cloud
On-Premises
iPhone
iPad
Android
Chromebook

Platforms Supported

Windows
Mac
Linux
Cloud
On-Premises
iPhone
iPad
Android
Chromebook

Audience

Compliance officers and operations teams seeking a solution to manage every facet of regulatory compliance, from filings and supervision to communications and cybersecurity

Audience

Organizations in need of a solution to reduce their data entry needs, improve data quality and increase global oversight

Support

Phone Support
24/7 Live Support
Online

Support

Phone Support
24/7 Live Support
Online

API

Offers API

API

Offers API

Screenshots and Videos

Screenshots and Videos

Pricing

No information available.
Free Version
Free Trial

Pricing

No information available.
Free Version
Free Trial

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

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
Webinars
Live Online
In Person

Training

Documentation
Webinars
Live Online
In Person

Company Information

COMPLY
United States
www.comply.com/products/ria-in-a-box/

Company Information

AMPLEXOR
Founded: 1987
Luxembourg
www.amplexor.com/en/life-sciences-suite/rim/regulatory-planning-tracking.html

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Categories

Categories

Integrations

No info available.

Integrations

No info available.
Claim RIA in a Box and update features and information
Claim RIA in a Box and update features and information
Claim RIMExpert and update features and information
Claim RIMExpert and update features and information