SEC compliance software built for examination-ready evidence.
ComplianceSuite connects customer due diligence, sanctions and PEP screening, transaction surveillance, investigations, approvals and retained evidence in one operating layer. Securities firms can reconstruct a decision, produce a review population and show how a control operated without assembling the story across disconnected systems.
- Customer and beneficial-owner risk in one file
- Alert-to-investigation decision lineage
- Policy, rule and approval version history
- Exportable examination evidence
Broker-dealer financial-crime controls
Run risk-based customer identification and due diligence, sanctions and PEP screening, transaction monitoring and investigation workflows alongside the firm's BSA/AML programme and FINRA obligations.
- Customer and beneficial-owner verification
- Risk-tiered due diligence and refresh cycles
- OFAC, PEP and adverse-media screening
- Cases linked to supporting records and approvals
Investment adviser evidence
Organise client, investor and counterparty risk evidence with consistent reviews, escalation paths and retained decisions. Apply the controls appropriate to the adviser's activities and current federal requirements without presenting one workflow as universal legal advice.
- Documented risk assessments and review ownership
- Source-of-funds and enhanced due diligence
- Conflict, exception and escalation records
- Role-based access and maker-checker approvals
Regulation S-P and incident evidence
Keep customer-information controls, incident decisions, affected populations and response actions in a time-stamped record so privacy and safeguarding reviews can be answered from evidence rather than email trails.
Books, records and examination response
Produce point-in-time customer files, rule versions, reviewer decisions and population extracts. Every change carries an owner, date and rationale, making samples and follow-up requests faster to answer.
- Point-in-time file reconstruction
- Immutable read, write and approval history
- Filtered population exports with audit stamps
- Remediation plans with owners and due dates
FAQ
Regulator questions, answered.
Who is this SEC compliance page for?
It is designed for US broker-dealers, registered investment advisers, securities fintechs and other firms that need consistent customer-risk, surveillance, investigation and evidence workflows. The exact SEC, FINRA, FinCEN and state obligations depend on the firm's registration, activities and products.
Does ComplianceSuite replace legal advice or guarantee SEC compliance?
No. ComplianceSuite provides configurable controls, workflow and evidence management. Your legal and compliance teams determine which rules apply, approve the control design and remain responsible for regulatory submissions and decisions.
How does the platform support an SEC examination?
It brings customer risk, screening outcomes, alerts, cases, approvals, policy versions and remediation into one searchable record. Teams can export a requested population and reconstruct what information, rule and approval applied at the time of a decision.
Can it support both SEC and FINRA expectations?
Yes. Broker-dealer workflows can combine SEC record and safeguarding requirements with FINRA supervisory processes and BSA/AML controls. Requirements are configured by entity so an investment adviser and broker-dealer do not inherit the same rule set by default.
Can we keep US securities data in the United States?
US-hosted deployment is available, with encryption, role-based access, maker-checker controls and an immutable audit trail. Deployment scope and retention settings are agreed during implementation.
Bring your next SEC examination request.
We will map the requested records to the customer, control, decision and evidence trail ComplianceSuite can produce.