RIA in a BoxCOMPLY
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RIMExpertAMPLEXOR
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Related Products
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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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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.
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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 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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Audience
Organizations in need of a solution to reduce their data entry needs, improve data quality and increase global oversight
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Support
Phone Support
Supported
24/7 Live Support
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Online
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Support
Phone Support
Supported
24/7 Live Support
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Online
Supported
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API
Offers API
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API
Offers API
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Screenshots and Videos |
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Pricing
No information available.
Free Version
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Free Trial
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Pricing
No information available.
Free Version
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Free Trial
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Reviews/
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Reviews/
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Training
Documentation
Supported
Webinars
Supported
Live Online
Supported
In Person
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Training
Documentation
Supported
Webinars
Supported
Live Online
Not Supported
In Person
Supported
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Company InformationCOMPLY
United States
www.comply.com/products/ria-in-a-box/
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Company InformationAMPLEXOR
Founded: 1987
Luxembourg
www.amplexor.com/en/life-sciences-suite/rim/regulatory-planning-tracking.html
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Integrations
No info available.
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Integrations
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