Alternatives to RIA in a Box
Compare RIA in a Box alternatives for your business or organization using the curated list below. SourceForge ranks the best alternatives to RIA in a Box in 2026. Compare features, ratings, user reviews, pricing, and more from RIA in a Box competitors and alternatives in order to make an informed decision for your business.
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Skillcast
Skillcast
The Skillcast Compliance Portal is a solution that enables organisations to deliver, track, and evidence compliance learning and related activities in a single platform. Designed for compliance, risk, and HR teams, it simplifies the management of e-learning, policies, disclosures, registers, and events while ensuring auditability and regulatory compliance. Available in Standard, Enhanced and Premium tiers, the portal connects learning and compliance workflows, providing visibility, efficiency and control across all programmes. Key features include an LMS for delivering and reporting on training with a built-in content editor, a Policy Hub for policy distribution and attestation tracking, Training 360 for complete records and CPD, Event Management for sessions and attendance, automated Declarations, configurable Registers for gifts, hospitality and conflicts, Compliance Surveys for employee insights and SMCR Registers to support Senior Managers and Certification Regime compliance. -
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Predict360
360factors
Predict360 is an integrated risk and compliance management software platform for financial and insurance organizations. It integrates risk and compliance processes and industry best practices content into a single platform that streamlines regulatory compliance, improves efficiency, predicts risk, and provides best-in-class business intelligence reporting. Predict360 includes the following Risk Management applications: Enterprise Risk Management (ERM), Risk Management and Assessments, Risk Insights, Issues Management, Peer Insights, Third-Party Risk Management, and Quarterly Certifications and Attestations. Compliance applications are: Compliance Management, Compliance Monitoring & Testing, Complaints Management, Regulatory Change Management, Regulatory Examination and Findings Management, Policy & Procedure Management, and more. 360factors also offers Lumify360 - a KPI and KRI predictive analytics platform that enriches data, predicts performance, and works alongside any GRC. -
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Luthor
Luthor.ai
Luthor is a modern compliance platform built specifically for small and growing RIAs who want automated, audit-ready compliance without the cost of a full compliance department. Its AI engine proactively scans marketing content across email, social media, websites, and client communications—flagging risks and suggesting compliant alternatives before anything goes live. Advisors can manage disclosures, outside activities, gifts, and attestations in one unified dashboard with automated conflict checks and instant certifications. Luthor includes a robust library of pre-built, customizable policies covering ethics, cybersecurity, AML, and more, so firms never have to start from scratch. SEC-compliant archiving and WORM-based storage keep every record protected and audit-ready at all times. With enterprise-grade security, automated monitoring, and real-time support, Luthor removes the stress of compliance so advisors can focus on growing their firms. -
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Archive Intel
Archive Intel
Archive Intel is an AI-powered client communication archiving software platform designed for simplicity and precision. Seamlessly capture emails, iMessages, text messages, social media posts, websites, off-channel communications, and more. Meet regulatory obligations with ease through the power of artificial intelligence. Archive Intel was built by a team of industry professionals who understand the challenges advisors face with meeting regulatory requirements. With an intuitive workflow and modern interface, our solution enhances the user experience, saving firms both time and money. Archive Intel was purpose-built from the ground up to ensure full compliance with SEC Rule 204-2 and 17A-4. Our comprehensive platform captures and archives communications, including iMessage, WhatsApp, text messages, emails, social media posts, websites, and off-channel activities. With free exports and quick reports, our user-friendly system gives you everything you need to meet compliance.Starting Price: $99 per month -
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Intapp Employee Compliance
Intapp
Intapp Employee Compliance makes it easier for your firm to monitor employees’ financial interests and outside activities, adhere to internal code of ethics policies, and track required documentation. Help your professionals follow firm and regulatory requirements and make it simpler for your compliance team to review and manage everyone’s activities. Give employees the tools they need to easily comply with firm policies. Verify information with normalized data and flagged discrepancies. Automatically notify employees when actions are required and track progress. Support timely action and approvals with workflows and notifications. Provide comprehensive histories for firm management and regulators. Create a hub for staff to track and receive approval for regulated activity. Combine employee compliance with your existing HR and trading systems. Provide role-based, centralized data views and dynamic reporting tools. -
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StarCompliance
StarCompliance
StarCompliance (Star) is the global leader in employee and firm compliance technology. For more than 25 years, millions of users in 114 countries have relied on Star to reduce risk, manage conflicts of interest, and navigate complex regulations. The StarCompliance Enterprise platform delivers full coverage, including monitoring of personal trading, digital assets, gifts, hospitality, political donations, and outside business activities. It also supports incident management, MNPI oversight, and accountability regime compliance across multiple regions. With intuitive workflows, analytics, and dashboards, compliance teams gain actionable intelligence and a complete view of risk. Built on a secure, cloud-ready architecture that integrates with platforms like Snowflake, Star ensures scalability and adaptability. Combined with robust support, training, and resources, StarCompliance enables organizations to protect employees, safeguard reputations, and build long-term cultures of compliance. -
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Kaizen
Kaizen
Transform how you meet your compliance and regulatory reporting obligations. We are a team of regulatory experts, technology developers, and data engineers focused on improving data quality and creating new solutions to the complex challenges of regulation. Our award-winning products help clients from across the financial services industry, from boutique asset management firms to tier-one banks, meet the demands of regulators. Get accurate, complete, and timely regulatory reporting. Search, share, and manage regulation on one digital platform. Automated shareholding disclosure monitoring and reporting. A holistic approach for managing market abuse and misconduct. Reduce regulatory risk with automated research management. Accredited training for a wide range of regulatory reporting regimes. We are regulatory and data specialists on a mission to revolutionize the way people work with compliance and regulation. -
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policyIQ
policyIQ
Take the stress out of SOX compliance with policyIQ, by simplifying oversight and maximizing efficiency. With the easy configuration tools in policyIQ, our solution will meet your unique needs and will be ready to go within weeks – without the heavy price tag of a custom solution. Save time and reduce error by updating a control just once, with changes flowing through all reports and views. Gain oversight with customized dashboards to see progress and results in real-time. Be proactive in the collection of audit evidence by issuing requests for documentation in advance. Automate control attestations, reviews, and 302 sub-certification processes with simple electronic forms. Implement automated workflows to route changes or escalate issues. Link policies to related compliance content, such as regulatory frameworks or internal controls. -
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CyberScale
Criterion Systems
While the cybersecurity threat environment is well known as a key challenge for Federal Departments and Agencies (D&As), there are other, equally important issues that need to be addressed when they seek to improve their cybersecurity and privacy (CS&P) programs. Increasing federal CS&P-related regulatory requirements, oversight, and guidance. The accelerating move to risk management versus a compliance approach. Growing resource and budget constraints. To be effective in this operational environment, federal D&As must employ CS&P programs that focus on operating in cyberspace instead of just reacting to it. CyberScale® provides a structured approach to enhance the efficiency and effectiveness of the organization's cybersecurity and privacy (CS&P) program, operations, and/or systems. It identifies and evaluates CS&P risk using the NIST cybersecurity framework. This determines an organization’s CS&P maturity. It also works to manage and track cybersecurity and privacy risk mitigation. -
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Lawrbit
Lawrbit Global Compliance Network
Regulatory Risks are amongst the Top 3 Business Risks globally as there are multiple Laws (Central, State & Municipal level) applicable to each business. Laws are frequently changing, are complex, and involves multiple stakeholders (internal/external) to manage. The Board needs to have oversight of their compliance and regulatory risks across the enterprise, which means understanding which Regulatory obligations map to which business processes, policies & controls. Offered as SaaS, GCMS helps businesses create a centralized framework to proactively monitor Regulatory Risks across an extensive range of Compliance obligations from all applicable Laws; enabling the Board to efficiently manage control across geography, functional, and industry mandates. Build on Twin Software Architecture, GCMS integrates Tech with Regulatory Intelligence & Updates for 1,000s of Laws, Regulations from 70+ Countries. GCMS simplifies understanding and adhering to all Compliance obligations. -
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FCI Cyber
FCI Cyber
FCI is a NIST-Based Managed Security Service Provider (MSSP) offering Cybersecurity Compliance Enablement Technologies & Services to CISOs and security personnel of organizations with prescriptive cybersecurity regulatory requirements. FCI blends best-of-breed technologies, cybersecurity best practices, expertise, and innovation to deliver cloud-based Managed Endpoint and Network Protection as well as Safeguard Scanning & Evidencing. FCI’s Next Generation Endpoint Security Audit and Compliance (ESAC) system is specifically designed for financial services organizations. This innovative solution is set to replace outdated legacy systems that have fallen short of user expectations in performance and support. As the first layer of the FCI SOAR (Security, Orchestration, Automation, and Response) platform, it sets the foundation for comprehensive security and compliance management. -
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AML-TRACE
SMART Infotech
AML-TRACE compliance suite is a trusted anti-money laundering software by SMART Infotech set up in 2011. We at Smart Infotech provide a fast and easily configurable compliance system to help you meet your AML regulatory obligations in a cost-effective way. Obligated organizations are required to verify their clients in order to avoid financial crime risks. AML-TRACE is a solution that enables an enterprise-wide approach to manage KYC/EDD/CDD requirements from initial onboarding to ongoing due diligence. Customer Screening at onboarding and that which is ongoing, and continuous Transaction Monitoring by automating risk scoring help you fulfill anti-money laundering, and regulatory objectives. We help you in AML tracking, reduce risks and protect you against financial crime while achieving regulatory compliance. AML-TRACE makes effective AML compliance audit possible. -
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Advise Wise
Advise Wise
Advise Wise is a cloud-based financial advisory platform that helps advisers source, compare, and manage later-life mortgage and equity release products tailored to clients’ needs with powerful filters, integrated property and medical underwriting, side-by-side plan comparisons, and Quick Quote tools for fast preliminary figures. It includes an integrated CRM where advisers can store client data, case documents, product searches, and key fact illustrations in one secure place, upload files of any format, and track case progress while fulfilling regulatory requirements such as Consumer Duty and FCA guidance. It also features an integrated Fact Find template that pre-populates with client and property information, AI-assisted Suitability Letter creation, and one-click submission of KFIs and online applications via API connections with lenders; advisers can also select and instruct specialist solicitors directly from a client case. -
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Ascent
Ascent RegTech
Regulatory monitoring, made simple. View, search, and organize regulatory content from around the world, all in one place. Monitor and prioritize regulatory changes that apply to your business. Rule Updates, Filings, Proposals and Amendments are all included, so you’ll never be surprised by a new or updated rule. See documents organized by industry-standard themes (such as cybersecurity or AML) or by your own custom themes. Work the way you want for clearer insights into emerging regulatory trends. Mark documents and assign them to teammates for review. Create and manage your own obligations so you can track work and ensure completion. All rule updates, guidance notes, speeches and other regulatory documents are consolidated in one place. Documents are organized by key regulatory themes to reflect how Risk and Compliance Officers actually work. Save 20+ hours per regulation in monitoring rule changes. Ascent surfaces the information you care about. -
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Logwise
Logwise
Logwise is a compliance management tool that simplifies and automates regulatory workflows, helping organizations streamline key compliance processes like insider list management, market soundings, personal account dealing, restricted lists, conflict of interest tracking, PDMR obligations and policy management in line with UK and EU financial market regulations. It combines legal expertise with smart technology to reduce manual work and oversight risk by providing structured workflows, automated reminders, full audit trails, role-based access control and customizable modules that adapt to regulatory changes. Logwise centralizes documentation and compliance records, ensuring they are complete, easily accessible and review-ready for both internal teams and regulators. Designed for teams of all sizes, it supports cross-functional collaboration with secure, automated tools and helps organisations maintain transparent, and auditable processes across departments and stakeholders. -
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FIS Trading Compliance Manager is a multi-asset, web-based regulatory surveillance and compliance solution designed to help sell-side financial firms detect, monitor, and manage potential trading violations throughout the full order lifecycle by combining alerts with comprehensive market and client data. It provides end-to-end trade surveillance, regulatory reporting, and supervisory controls to support daily review, post-trade analysis, best execution monitoring, and compliance with standards like RegNMS, RegSHO, market manipulation rules, and data requests such as Electronic Blue Sheets (EBS) and OATS, all from a unified, permission-controlled platform that enhances oversight while reducing risk and manual effort. By offering a complete view of orders and trading activity, robust alerting, and integrated data warehousing, the system helps firms streamline compliance workflows, improve execution data quality, support management reporting, and mitigate reputational risk.
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Grand GRC
Grand Compliance Global AB
At the heart of our system is the AI-generated Regulatory Obligations Inventory (ROI), forming the foundational compliance substrate for all Governance, Risk Management, and Compliance (GRC) activities. Regulatory News Monitoring With AI classification, news monitoring becomes focused and efficient, directly linked to specific obligations within the ROI. Policies Mapping Policies are mapped directly to obligations, ensuring non-overlap and complete coverage across the institution. Risk Identification Risks are assessed in relation to corresponding policies, offering a clear path back to foundational obligations. Mitigation Strategies Mitigative measures are intricately linked to identified risks and the corresponding policies and obligations, maintaining a clear "compliance lineage."Starting Price: $1000/month -
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SACT (Self-Assessment Compliance Toolkit) by SwiftSafe is a comprehensive tool designed to help organizations stay compliant with major cybersecurity regulations like GDPR, HIPAA, PCI DSS, and ISO 27001. The platform simplifies compliance management by offering hassle-free assessments, real-time reporting, and automated updates on regulatory changes. SACT helps businesses generate instant audit reports, track security improvements, and maintain compliance without the need for costly consultations. With its user-friendly interface and 24/7 support, SACT streamlines the process, making it easy for businesses to meet their compliance obligations efficiently.Starting Price: $150
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Siguru AI
Siguru AI
Siguru AI is an AI-driven compliance and Medical, Legal & Regulatory (MLR) process optimization platform built for pharmaceutical and life-sciences teams to improve how commercial and medical content is reviewed, approved, and monitored across digital channels. It uses advanced artificial intelligence to accelerate MLR reviews, reduce errors, and flag compliance risks in marketing and digital materials, helping internal teams deliver review-ready, code-compliant content faster and cut down approval cycles by detecting issues before they escalate. It integrates into existing workflows and content management systems, supports automation of compliance checks in content creation, and provides real-time insights that align with global regulatory codes and standards, aimed at reducing complaints and oversights tied to digital promotional content. -
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OverseeAI
OverseeAI
OverseeAI is a software platform designed to help property and casualty insurers effectively monitor and manage AI models in production while minimizing vendor complexity. It enables faster, more accurate underwriting, improves claims handling, and supports clean data capture for better quoting decisions. The platform provides real-time visibility into AI model outcomes, helping insurers achieve measurable ROI. OverseeAI also aligns technical, business, and compliance teams with shared oversight and risk controls for scalable AI deployment. With a focus on governance, the platform ensures responsible AI use, regulatory compliance, and business impact alignment. OverseeAI empowers insurers to deploy AI confidently with industry-specific capabilities. -
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Bloomberg Vault
Bloomberg
Bloomberg Vault is an integrated compliance and surveillance solution designed to help global financial services firms meet their regulatory obligations and business standards. Vault enables firms to capture, control, archive, reconstruct, and analyze their voice data across the entire trading life cycle on a real time or historic basis. Primarily a premium, enterprise offering with robust capabilities across the compliance workflow, Vault also underpins the entire terminal community with the capture of Bloomberg’s proprietary e-communications and trading data as well as basic archival, surveillance, and search tools for approved reviewers. Allow for timely trade reconstruction by pairing a trade archive solution with the Bloomberg Vault communications storage solution. Access data that is searchable and retrievable from a single console, allowing clear visibility into the entirety of each trade. Review, access and change users’ enablement scope across products and services. -
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Dakota Profiler
Dakota Software
Fueled by an integrated regulatory database, Dakota Profiler helps organizations manage local compliance while centralizing their global EHS programs. Leveraging Dakota’s curated Regulatory Database, Decision-Tree-Logic guides users in the creation of site-specific Compliance Profiles. The profile gauge shows how many regulatory domains apply to each site, how many don’t, and most importantly, how many are unknown. Grouped by regulatory domain, Profiler’s clear and concise framework keeps track of the citations included in your tasks to ensure accurate legal registers and comprehensive compliance calendars. Task occurrences are easily managed and tracked to closure in Dakota Tracer. Profiler's regulatory hierarchy uses visual indicators to highlight specific changes and prompt review of affected citations and tasks. Regulatory Alert emails help your teams prepare for coming changes whenever relevant changes are published in the Federal Register. -
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Hubl
Hubl
Hubl is a mobile-first digital food safety, compliance and operations checklist platform designed to replace traditional paper diaries and manual record-keeping with an intuitive app and dashboard that helps hospitality teams conduct, log and track daily due-diligence tasks such as hot and cold temperature checks, cleaning and delivery checks, corrective actions, allergen management and other food safety procedures, giving operators instant visibility into historic checks and priorities across sites and reducing time and consumable costs; it supports multi-user access on iOS and Android devices with offline capability, stores interactive HACCP/FSMS and health & safety documents securely, and offers built-in best-practice guidance reviewed by environmental health officers so businesses can be better prepared for inspections and improve food hygiene ratings while saving money, increasing accountability and making compliance easier to manage.Starting Price: $23.18 per month -
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ACA ComplianceAlpha
ACA Group
Build a scalable and resilient compliance program with ComplianceAlpha, our regulatory technology software platform supported by managed services. Achieve better outcomes and economies of scale with integrated technology and managed services. A comprehensive compliance program is critical not just to protecting your business – but to growing your business. See how ComplianceAlpha is helping over 800 leading financial services firms around the world build better GRC programs. Build a more resilient and comprehensive compliance program. ComplianceAlpha integrates risk and compliance activities, surveillance and monitoring, testing, and analytics in one platform to provide you with a unified view of risks and behavior across your firm. We pool our collective expertise across regulatory compliance, cybersecurity, performance, ESG, and technology to design, develop, and deliver valuable and timely solutions to your most pressing challenges. -
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Alphatax
Tax Systems
Alphatax is a comprehensive enterprise corporation tax compliance solution that centralizes raw data collection, automated calculations, cross-reference checks, and validation into an end-to-end workflow for the UK, Ireland, and UAE regimes. It features robust, legislatively up-to-date tax logic with in-built cross-references and proprietary audit-trail capabilities that timestamp and log every change; automated report generation with both standard templates and bespoke configuration options; seamless integration with ERP systems and data sources; real-time collaboration and review tools for controlled sign-off; built-in guidance and contextual help to ensure accuracy; and direct e-filing submission to HMRC or local authorities. With support for multi-jurisdictional computations, country-specific rules, and full version history, Alphatax empowers tax teams to prepare, manage, and submit corporation tax returns with complete confidence and compliance. -
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TRAction
TRAction Fintech
There are many firms that assist with trade and transaction reporting, some provide software for data extraction and conversion, some offer consultancy on reporting regulations and others act as an agent reporting your trades. TRAction is different. We are not simply a software provider, a consulting firm or a reporting agent. TRAction extracts, reviews and populates data in the required format for the designated trade repository. We register you with a trade repository, ensure cost effectiveness and rectify any exceptions in your data on your behalf. Explaining the requirements, ensuring your business is compliant and keeping you informed on regulatory updates. Check out our blog for the latest updates on regulatory changes and issues regarding trade/transaction reporting under ASIC, EMIR, MiFIR, SFTR, MAS and other regimes around the world. -
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BitAML
BitAML
BitAML is an advisory firm that offers AML compliance services specifically to cryptocurrency financial institutions facing these challenges. We are comprised of experienced and capable AML compliance experts with a thorough understanding of regulatory nuance at every level of government. While there are many firms in the financial compliance space, BitAML is unique in that it specializes in developing holistic, customized AML compliance regimes specifically for cryptocurrency concerns. We are thorough and leave no regulatory stone unturned. We offer a suite of products and services designed to make it easier for business owners to implement and update AML compliance policies, procedures, and protocols efficiently and accurately as they grow. We serve businesses including bitcoin ATM/kiosk operators, crypto exchanges, individual traders, trading platforms, hedge funds, crypto-cannabis, and others. -
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DORA 360
Gieom
DORA 360 is a scalable, modular SaaS platform tailored for financial institutions to build, integrate, and demonstrate operational resilience. It connects business processes with policies, risk controls, IT systems, third parties, incidents, and related data, offering a unified solution for evidencing regulatory compliance across Europe. Specifically designed to support compliance with the Digital Operational Resilience Act (DORA), DORA 360 also extends its capabilities to meet other international ICT standards, such as NIST and ITIL, ensuring streamlined and comprehensive compliance management. Magpie AI is the regulatory intelligence engine behind DORA 360, designed to streamline DORA compliance. Harnessing the power of generative AI, Magpie AI provides instant answers to all your DORA-related queries. It delivers real-time regulatory updates, predictive compliance insights, automated gap analysis, and continuous monitoring to keep your compliance status up-to-date. -
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Docugami
Docugami
Document engineering empowers business users with an impact on day one, without any massive investment in machine learning, staff training, or IT development. Analyze agreements for risk, pricing, and obligations. Avoid costly penalties, and escalators due to delays. Transform carrier plans into data, so your brokers can focus on selling, not data entry. Cut costs, and improve quality vs annual temp staffing. Scour your MSAs and SOWs for deliverables, pricing, liabilities, and legal risk. Avoid expensive surprises. Cut the cost of diligence in transactions. Identify price variations, renewal deadlines, sub-lease options, and tax issues across entire portfolios. Comply with tax laws, optimize rents, and avoid fees. Unlock the data in your unique documents to increase productivity, compliance, and insight. Re-paper legacy licenses to comply with new regulatory and customer requirements. Assure quality reviews and documentation. -
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Vendifi
Vendifi
Vendifi is a cutting-edge third-party risk management (TPRM) platform built for regulated industries like healthcare, finance, and government. Designed to simplify vendor compliance, Vendifi automates the entire due diligence process—from creating regulatory-compliant questionnaires to distributing them, chasing third parties for documentation, and validating responses. Alongside automated due diligence, Vendifi provides advanced cybersecurity monitoring, including real-time threat detection, vulnerability assessments, and ransomware alerts. Built on Microsoft SharePoint and Azure, Vendifi integrates seamlessly with your existing ecosystem, ensuring data security and compliance within your Office 365 environment. Whether you're managing 10 vendors or 10,000, Vendifi scales with your needs, offering a centralized solution for third-party risk management, compliance tracking, and vendor lifecycle management.Starting Price: $11499/annual -
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Hadrius
Hadrius
We’re the most efficient, most accurate AI-powered software suite for all your RIA and broker-dealer compliance needs. Automated marketing review powered by our own ComplianceGPT. Upload dozens of document types and receive compliance recommendations in under a minute - saving you (and your marketing team) hours of back and forth. Set up employee brokerage accounts once, and take advantage of automated reporting, pre-clearance, and reviews as necessary. We assist with employee onboarding to make this process effortless. Political contributions, gifts, outside business activity, updates to your code of ethics, compliance manual, and more. Employees have their own login to the intuitive Hadrius UI to make reporting and signing documents easy. -
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Canopy
Canopy
Harness the power of AI for fast, accurate data mining for cyber incident response. Canopy’s software products are purpose-built to find PII & PHI buried in any data set. Our AI-powered processing allows you to data mine faster than ever, with even greater confidence in the accuracy of your assessment. Whether you're dealing with PSTs, file shares, or servers, our machine-learning algorithms are trained to zero in on protected data. They've already detected billions of PII elements without the need for regex or keyword searches, and continue to improve with every completed project. Whether you're responding to a breach or you're proactively working to mitigate risk, Canopy's patented cybersecurity and data privacy technology has you covered. Fulfill regulatory and ethical obligations to notify quickly in the event of a data breach with streamlined data mining, PII review, and entity consolidation. -
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Upfront New Business Intake
Fulcrum GT
Your team works tirelessly to check and clear conflicts and to register and manage new matters, while meeting all regulatory compliance requirements. Equip them with a comprehensive tool to make them even more effective and efficient. Streamline and standardize your manual business processes for clearing new business with a flexible workflow engine. Intelligent workflows simplify necessary compliance with AML and KYC standards. Accelerate new business decisions by producing high-quality, centralized intake data. No more paper files and laborious review processes. Integrate and scale critical policies through a robust form builder, reporting tools, alert triggers, and matter lifecycle tracking capabilities. A conflict management tool needs to work the way your people do. Evaluating your firm's potential business relationships requires timeliness, flexibility, and complex analysis. Our Upfront solution provides comprehensive due diligence through intelligent filters. -
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Cybrance
Cybrance
Protect your company with Cybrance's Risk Management platform. Seamlessly oversee your cyber security and regulatory compliance programs, manage risk, and track controls. Collaborate with stakeholders in real-time and get the job done quickly and efficiently. With Cybrance, you can effortlessly create custom risk assessments in compliance with global frameworks such as NIST CSF, 800-171, ISO 27001/2, HIPAA, CIS v.8, CMMC, CAN-CIOSC 104, ISAME Cyber Essentials, and more. Say goodbye to tedious spreadsheets. Cybrance provides surveys for effortless collaboration, evidence storage and policy management. Stay on top of your assessment requirements and generate structured Plans of Action and Milestones to track your progress. Don't risk cyber attacks or non-compliance. Choose Cybrance for simple, effective, and secure Risk Management.Starting Price: $199/month -
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Theta Lake
Theta Lake
Security and compliance for modern collaboration platforms. Empowering enterprises to manage compliance, data exposure, security, and acceptable use risks in what is shared, shown, spoken, and typed during collaboration sessions. Built in the cloud. Fast and easy to deploy integrations. Enable safe collaboration across your distributed locations and dispersed workforce. Align employee video conferencing and collaboration use with your security, risk, and compliance requirements. Adopt strategic use of modern communication platforms, without the worry. Theta Lake provides a purpose-built compliance product suite for automatic policy detection of regulatory risks, compliance workflow, and archiving for video marketing, video conferencing, and audio recordings. With the use of video marketing, video conferencing, video chat, and audio calls skyrocketing along with the intersecting increase in MiFID II, FCA, GDPR, FINRA, FFIEC, and similar regulatory requirements. -
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RegPass
RegPass
RegPass™ is the compliance co-pilot built to 10× your team’s impact. From horizon scanning to assurance, RegPass connects every stage of the regulatory change lifecycle: Horizon Scanning → Rules Inventory → Policies & Controls → Regulatory Policy Advisor. Stay ahead with comprehensive global coverage and intelligent Business Profiles that filter alerts to what’s truly relevant. Our enriched Rules Inventory consolidates overlapping obligations into canonical ones for clarity and traceability. AI sits at the heart of RegPass, extracting, prioritizing, and mapping obligations to your policies and controls with clear rationale. Every suggestion is explained, auditable, and ready for approval. Built by the experts at Braithwate, RegPass encodes decades of regulatory change experience into a powerful knowledge graph. Open, extensible, and transparent by default, RegPass delivers end-to-end traceability, helping teams work faster, reduce risk, and strengthen compliance. -
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ActReady
ActReady
ActReady is an EU AI Act compliance platform built for SMBs, startups, and SaaS companies. It helps businesses classify their AI systems by risk level, generate all required compliance documents, and track regulatory obligations — before the August 2, 2026 enforcement deadline. Key features: - Free AI risk classifier (no account required) — get your risk tier in 60 seconds - AI-generated compliance documents: Annex IV technical documentation, risk management plans, human oversight plans, transparency notices, data governance docs, and post-market monitoring plans - Obligation tracker to manage compliance tasks across all your AI systems - Audit pack export — download all documents as a zip for regulators - GDPR & ISO 27001 overlap mapping - Disclosure snippets for Article 50 transparency requirements Plans start free. Paid plans from €29/month. No legal background required.Starting Price: €29/month -
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Ensure the security of your workloads, simplify regulatory compliance, and guarantee data sovereignty with IBM Cloud Secure Virtualization. A trusted cloud infrastructure must be able to answer these questions for corporate oversight, security, and compliance. A customer wants to create an environment where administration, workload execution, and data access are constrained to a particular geo-location with full audit capabilities. During deployment, identify the firmware configurations you will allow and the hypervisor configurations you have approved. Accurately identify each physical host and its physical location, creating a snapshot or fingerprint of each trusted host's launch configuration. This is stored in an allowlist. If the measurements of a host's BIOS and hypervisor match the measurements stored in the allowlist, the boot environment is attested. The host launches into a state that is considered trusted.
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Proind Compliance Controller
Proind
Proind compliance controller is a web-based, enterprise-wide solution to better understand, manage, track and control the compliance activities across the organization. The solution reduces the overall cost of managing compliances with an integrated view of enterprise-wide statutory and internal compliances. PCC delivers a single source for regulatory content with embedded control that allows users to understand obligations & associated risk to their organization. PCC provides management an automated, streamlined view across multiple jurisdictions, sectors and regulators and helps confirm regulatory compliances. PCC is equipped with powerful features that can handle all types of compliances throughout their lifecycle across the enterprise. Reduce fines, penalties and reputation risk from non-compliance. -
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Vixio
Vixio
Vixio is a regulatory-intelligence platform that gives compliance and legal teams real-time clarity and control over changing rules across more than 200 jurisdictions and 1,400 regulatory authorities. It combines expert human analysis with AI-driven tools, including horizon scanning, a regulatory library, a global data hub, market assessments, and a custom report builder, to monitor legislative and regulatory developments, compare requirements across regions, and surface governance risks. In 2025, Vixio expanded with Vixio Workspace, a workflow and compliance-management add-on that links regulatory change intelligence to actionable tasks; compliance teams can create checklists, assign tasks, collaborate internally, track progress in dashboards, manage attestation records, upload evidence, and maintain a full audit trail, eliminating reliance on scattered spreadsheets, emails, or disjointed tools. -
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Wealth-X Diligence
Altrata
Wealth-X Diligence provides a unique combination of in-depth intelligence on individuals spanning all levels of wealth for organizations looking to meet regulatory or best practice requirements and mitigate reputational and commercial risk. Our expert global research team helps you close the gaps in your compliance approach, including a comprehensive analysis of a client’s net worth and source of wealth, and identifying whether it has been accumulated legitimately. With increasing regulation and trends toward greater transparency, understanding the source of wealth is a cornerstone of due diligence. Organizations should not only be concerned with non-compliance and regulatory penalties but by the costs of reputational damage. The Wealth-X Diligence dossier helps to avoid information overload during the diligence process by providing concise and relevant intelligence and removing unnecessary noise. -
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Failure to manage compliance and commitments can result in companies paying the price and not always in dollars. Proactively monitor and manage commitments and ensure compliance for all external and internal audits. Provide all areas of business with a single view into all activities related to regulatory compliance. Have an accurate and up-to-date list of all commitments made to stakeholders and the activities associated with these commitments. Keep your internal and external stakeholders advised and informed. Give them access to the information they need with extranet self-serve portals. Keep business processes and compliance documentation in sync with an integrated records management system. Navantis has architected a framework built on Microsoft Dynamics CRM to manage and track interactions with key stakeholders at an individual, community or project level.
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SteelEye
SteelEye
Regulatory requirements have not just become onerous but are growing, each piece of legislation large and complex. This has increased the pressure on the compliance function - driving up costs and the demand for skilled staff. However, after growing year on year, budgets need to be justified and understanding where bottom-line costs can be cut is at the top of the agenda. Recent regulatory mandates have put increased pressure on financial services firms to proactively identify suspicious activity, market abuse and financial crime. SteelEye's asset class agnostic Trade Surveillance solution offers comprehensive coverage for a wide range of market abuse activities and behaviours, enabling you to strengthen your risk detection, improve your oversight and continuously demonstrate compliance. -
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Reply Champion
Reply Champion
Reply Champion is an AI-powered Google review management tool built for small businesses. It generates personalized, brand-consistent responses to customer reviews in seconds; in over 50 languages. Built-in review request campaigns make it easy to ask customers for reviews, helping businesses grow their online reputation on autopilot. Unlike generic review management platforms, Reply Champion offers HIPAA-compliant response modes for healthcare providers and legal ethics compliance for law firms, making it the only review response tool purpose-built for regulated industries.Starting Price: $10/month -
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Trustwise
Trustwise
Trustwise is a single API that safely unlocks the power of generative AI at work. Modern AI systems are powerful yet often grapple with compliance, bias, data breaches, and cost management challenges. Trustwise delivers a seamless, industry-optimized API for AI trust, ensuring business alignment, cost-efficiency, and ethical integrity across all AI models and tools. Trustwise helps you innovate confidently with AI. Perfected over two years in partnership with leading industry players, our software guarantees the safety, alignment, and cost optimization of your AI initiatives. Actively mitigates harmful hallucinations and prevents leakage of sensitive information. Audit records for learning, and improvement; ensure interaction traceability and accountability. Ensures human oversight of AI decisions and aids learning continuous system adaptation. Built-in benchmarking and certification, NIST AI RMF, ISO 42001 aligned.Starting Price: $799 per month -
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TOTALARCHIVE
Patrina Corporation
Whether you are regulated by the SEC, FINRA, CFTC, or IIROC, Patrina’s TOTALARCHIVE™ digital communications archiving platform meets the stringent requirements of your regulating body. Our archiving compliance solutions align to perfection with the rigorous mandates set forth by your regulatory authority. With Patrina, you get the tools you need to: Capture, Supervise Archive, and quickly access all your communications 24/7. Respond quickly and efficiently to examiner requests. Mitigate the risk associated with non-compliant communications. Quick and easy onboarding. No auto-renewing annual contracts. No surprise price hikes. Just the regulatory compliance solutions you need. When you need it. For as long as you need it. No fluff. No fat. Just powerful compliance muscle. -
47
Syntrio
Syntrio
Syntrio is a global leader in governance, risk, compliance and human resource solutions that help more than 6,500 organizations make the workplace a better place. Syntrio solutions include a comprehensive ethics reporting hotline and case management system, and seven modern training libraries in Employment Law and Harassment, Ethics and Compliance, Diversity and Inclusion, Health and Safety, Business Skills, Cybersecurity, and Hotline Learning. -
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Flex Databases
Flex Databases
Document management and ensures regulatory compliance in clinical trials. By integrating AI and a unique "co-pilot" feature, our platform boosts efficiency while maintaining human oversight. Automated Filing with AI The AI assistant automates document classification and metadata assignment, reducing manual effort. Co-Pilot for Human Control The "co-pilot" feature allows users to set confidence levels for AI classification. Documents below the threshold are flagged for review, and users can adjust classifications, helping the AI improve. Key Benefits: Efficiency: AI automates tasks, allowing more focus on critical activities. Accuracy: AI and co-pilot oversight ensure data integrity and compliance. User-Friendly: An intuitive interface simplifies document management. Continuous Learning: AI improves accuracy with ongoing user feedback.Starting Price: $1300.00 -
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Greenboard
Greenboard
Greenboard is a cloud-based, AI-powered platform that acts as a unified operating system for regulatory compliance under the SEC and FINRA for financial firms. It consolidates what are often multiple fragmented tools into a single dashboard that handles archiving and communications supervision, firm- and employee-level compliance workflows, third-party/vendor compliance, marketing content reviews, trade-testing, and books/records management, and full audit-ready recordkeeping. Leveraging its built-in “Greenboard Go” AI engine, which connects to all firm data, it automatically scans for risks, flags compliance issues, and helps enforce consistent internal policies. Its interface and architecture are designed with usability and security in mind, featuring role-based permissions, enterprise-grade data infrastructure, and SOC2-Type 2 compliance to ensure data privacy and regulatory defensibility. -
50
Diligent Workflow
Diligent
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.
