RegEd
The industry’s most comprehensive compliance management platform, trusted by more than 80% of top financial services firms.
The only unified solution to manage the full lifecycle of agent and advisor onboarding and compliance, delivering a seamless user experience and “clear to sell” signal for your distribution partners. Efficiently manage requirements from FINRA, SEC, state DOI and other regulators of the financial services industry. Including Advertising Review, Conflicts of Interest, Branch Audits and more. Everything you need to be aware of, comply with, and demonstrate compliance with relevant regulatory changes, including managing impact on your firm’s policies and procedures. The leading provider of Compliance Education, Product Training and Annual Compliance Programs, RegEd delivers more than one million CE courses and insurance certificates each year.
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Empiraa GPS
Empiraa GPS is a strategy execution platform built for businesses, leadership teams, and the consultants and advisors who support them. It replaces static strategy documents and scattered spreadsheets with one connected system for building plans, assigning owners, running meetings, and tracking progress in real time. Teams start with industry templates, guided AI chat, or their own framework, then link goals to KPIs, initiatives, and actions so nothing gets lost once daily work takes over. Built-in AI (ANI) understands the plan and surfaces stalled work, risks, and recommended next steps without manual chasing. Consultants and advisors can run Empiraa GPS across an entire client portfolio from one dashboard, with full white-label customisation so clients experience the platform as part of their own brand. GPS connects to the tools teams already use for reporting and workflow, and pairs with Empiraa Signal for teams that want strategy and sales in one system.
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Ethicontrol
Ethicontrol is platform to support full lifecycle of a message or incident - from origination to final decision.
Our web-intake supports 40+ languages and automatics translations. We also provide toll free lines and voice calls processing 24/7.
Our incident and case management support scenarios and workflows; delegation, classifications, priorities, tasks, case files, fact trees, team conclusions and powerful analytics.
Our platform is compliant with EU Whistleblowing Directive, UKBA, PIDA, Sapin II, FCPA, ISO 37001, ISO 37002 and many more frameworks.
We have got pricing plans for a company of any size and can provide you with custom quotes.
We don't charge for users.
Different options of rollout: any location, jurisdiction, SaaS-based or on premise solution.
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Pontera
Bring more accounts together into a cohesive strategy. Pontera allows advisors to monitor and trade 401(k), 403(b), and other held-away accounts to ensure they are meeting their clients’ needs. Optimize tax strategies to grow client wealth. Advisors can allocate their clients’ investments across taxable and tax-deferred accounts more quickly and efficiently by using the Pontera platform. Pontera helps advisors show their clients more of what’s happening in their portfolios. Combined with their existing technology, Pontera enables advisors to offer more streamlined portfolio visibility for their clients. Provide stability by rebalancing and monitoring retirement accounts as needed, just like custodial accounts. Improve client satisfaction by maintaining control during volatile markets and improve long-term results.
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