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What is RIA in a Box?

RIA in a Box is a comprehensive compliance management tool tailored specifically for Registered Investment Advisers (RIAs), enabling them to efficiently oversee and fulfill their regulatory duties in accordance with both SEC and state regulations. This innovative platform consolidates essential compliance functions into an intuitive interface, which features a customizable compliance calendar and an integrated log that is already populated with best practice suggestions. It automates vital processes such as registration and filing, including the creation of key documents like Form ADVs and Codes of Ethics. The platform also offers extensive archiving capabilities for communications across email, social media, and websites, all while providing advanced filtering and review functionalities. In addition, it facilitates a guided annual review process that adheres to SEC Rule 206(4)-7, integrates structured risk assessments tied to compliance policies, and includes monitoring tools for employee activities, encompassing trading, outside business engagements, and attestations. In addition to these features, the solution integrates a robust cybersecurity compliance component based on the NIST framework, ensuring that vendor due diligence is thoroughly managed. This all-in-one platform not only streamlines compliance efforts for RIAs but also significantly enhances their ability to navigate the complexities of regulatory demands. By leveraging this solution, RIAs can focus more on their core business activities while maintaining a high standard of compliance.

What is Grand GRC?

Grand GRC is a comprehensive GRC software solution designed to help businesses manage complex compliance requirements, streamline governance, and mitigate risks. Using AI and machine learning, the platform automates key compliance tasks, provides proactive alerts for new regulations, and simplifies the tracking of regulatory obligations. Grand GRC's Regulatory Obligations Inventory (ROI) helps organizations consolidate compliance data and offers real-time accuracy, making it easy to stay compliant with evolving standards. Whether in finance, technology, or healthcare, Grand GRC's flexible and scalable software supports organizations in managing risk and improving operational performance.

Media

Media

No images available

Integrations Supported

Additional information not provided

Integrations Supported

Additional information not provided

API Availability

Has API

API Availability

Has API

Pricing Information

Pricing not provided.
Free Trial Offered?
Free Version

Pricing Information

$1000/month
Free Trial Offered?
Free Version

Supported Platforms

SaaS
Android
iPhone
iPad
Windows
Mac
On-Prem
Chromebook
Linux

Supported Platforms

SaaS
Android
iPhone
iPad
Windows
Mac
On-Prem
Chromebook
Linux

Customer Service / Support

Standard Support
24 Hour Support
Web-Based Support

Customer Service / Support

Standard Support
24 Hour Support
Web-Based Support

Training Options

Documentation Hub
Webinars
Online Training
On-Site Training

Training Options

Documentation Hub
Webinars
Online Training
On-Site Training

Company Facts

Organization Name

COMPLY

Company Location

United States

Company Website

www.comply.com/products/ria-in-a-box/

Company Facts

Organization Name

Grand Compliance Global AB

Date Founded

2022

Company Location

Sweden

Company Website

www.grand.io

Categories and Features

Compliance

Archiving & Retention
Artificial Intelligence (AI)
Audit Management
Compliance Tracking
Controls Testing
Environmental Compliance
FDA Compliance
HIPAA Compliance
ISO Compliance
Incident Management
OSHA Compliance
Risk Management
Sarbanes-Oxley Compliance
Surveys & Feedback
Version Control
Workflow / Process Automation

Categories and Features

GRC

Auditing
Disaster Recovery
Environmental Compliance
IT Risk Management
Incident Management
Internal Controls Management
Operational Risk Management
Policy Management

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