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Firm Compliance

Regulatory compliance · by Greenboard

Turns compliance programs into systematic operations with automated compliance calendars, AI-assisted policy management and regulatory change management, and streamlined continuous risk assessments.

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What it does

Turns compliance programs into systematic operations with automated compliance calendars, AI-assisted policy management and regulatory change management, and streamlined continuous risk assessments.

  • SEC and FINRA compliance management
  • Communications archiving and supervision
  • Employee compliance and personal trading monitoring
  • Marketing compliance review and approval
  • Firm compliance with automated workflows
  • Third-party vendor due diligence and oversight
  • Prediction market activity monitoring and disclosure
Category
Regulatory compliance
Users
SEC-registered financial institutions, FINRA-registered financial institutions, Financial advisors, Private funds and 2 more
Public API
Not offered

Not yet disclosed: deployment options, platforms, languages and support channels.

Product insights

Evidence for this product in each industry and task.

#7 · collect audit evidenceView ranking →

Documented workflow

“Reviewer notesLong textReviewers only 05 Evidence that writes itself Every attestation, approval, and workflow leaves an audit trail as the work happens, with signed records and activity history ready for exams. Signed…”

Read product documentation
  • Reviewer notesLong textReviewers only 05 Evidence that writes itself Every attestation, approval, and workflow leaves an audit trail as the work happens, with signed records and activity history ready for exams. Signed…
    Read source · www.greenboard.com ↗

Pricing

Pricing not available

We don't have pricing details for Firm Compliance yet. Ask Greenboard for a quote.

Security and compliance

As reported by Greenboard. Ask for audit reports before you buy.

  • SOC 2 Type IICompliant
  • WORM / 17a-4 Compliant ArchitectureCompliant
  • 2025 Penetration Test
  • Business Continuity and Disaster Recovery Policy
  • Change Management Policy
  • Change Testing
  • Code of Conduct
  • Cybersecurity Insurance
  • Data Classification Policy
  • Data Retention and Disposal Policy
  • Disposal of Customer Data
  • Encryption in Transit and at Rest
  • Endpoint Security
  • High Availability Configuration
  • Incident Response Plan
  • Incident Response Plan Testing
  • Internal Control Monitoring
  • Network Security Policy
  • Production Data Use is Restricted
  • Risk Assessment
  • Secure Development Policy
  • Segregation of Environments
  • Vendor Due Diligence Review
  • Vendor Risk Management Policy
  • Vulnerability and Patch Management Policy

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