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Firm Oversight

Regulatory compliance · by Hadrius

Consolidates firm-wide oversight, risk tracking, compliance testing, and audit-ready reporting into a single, defensible workflow with AI-powered gap detection, smart calendar task routing, and immutable audit trails.

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What it does

Consolidates firm-wide oversight, risk tracking, compliance testing, and audit-ready reporting into a single, defensible workflow with AI-powered gap detection, smart calendar task routing, and immutable audit trails.

  • Marketing content review and disclosure governance
  • Communications archiving and e-comms surveillance
  • Personal trading and employee oversight
  • Trade surveillance and account monitoring
  • Compliance testing and program management
Category
Regulatory compliance
Users
Broker-dealers, RIAs, Private funds, Compliance consultants
Public API
Not offered

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

Pricing

Pricing not available

We don't have pricing details for Firm Oversight yet. Ask Hadrius for a quote.

Security and compliance

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

  • SOC 1Compliant
  • SEC Rule 17(a)-4Compliant
  • WORM-compliant archiving
  • Immutable audit trails
  • Zero-data retention AI
  • Role-based access controls

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