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What is SurgeONE?

SurgeONE is an all-encompassing cloud platform crafted for compliance, cybersecurity, data integration, and AI governance, specifically aimed at registered investment advisers, broker-dealers, and various regulated financial entities. Its extensive compliance toolkit is designed to help organizations prepare effectively for audits, create written supervisory procedures, manage employee attestations, monitor personal trading actions, evaluate marketing and electronic communications, maintain regulatory timelines, and track compliance issues. Regarding cybersecurity, SurgeONE provides vital features, including vendor due diligence, endpoint surveillance, risk assessment dashboards, and thorough documentation of inspection data. The platform's data integration functionality utilizes more than 110 adapters, facilitating the consolidation of data from a variety of financial systems into a unified compliance data lake, thereby improving reporting and analytical capabilities. Moreover, the AI governance features allow firms to catalog and manage their AI applications, conduct policy checks, escalate concerns for review, and maintain detailed records for accountability. This modular platform effectively combines software workflows with the expert guidance of compliance and cybersecurity specialists, creating a robust framework for addressing regulatory obligations. Ultimately, SurgeONE not only boosts operational effectiveness but also fortifies the overall compliance stance of financial institutions, making it an invaluable tool in today's complex regulatory landscape. By leveraging such advanced solutions, firms can more confidently navigate the challenges of compliance and cybersecurity.

What is ComplianceOS365?

ComplianceOS365 acts as an AI-enhanced compliance assistant specifically designed for Microsoft 365 Copilot, enabling employees to conduct an initial compliance evaluation of their work prior to submission to the legal or compliance departments. It analyzes a wide range of content, such as documents, emails, marketing collateral, UX designs, product specifications, and company policies by cross-referencing them with the policy library hosted on SharePoint. This tool integrates flawlessly with applications like Word, Outlook, and Teams, alleviating the need for users to transfer content to another platform for assessment. For every compliance issue it identifies, ComplianceOS365 cites the relevant policy, pinpoints the specific clause, and suggests alternative phrasing; if a topic does not have existing policy coverage, it transparently indicates this rather than making unfounded assumptions. The tool is designed without the authority to approve or deny content, ensuring the ultimate decision rests with the compliance team. Functioning entirely within the customer's Microsoft 365 ecosystem, it guarantees that policy documents remain secure while maintaining a complete record of all interactions through Microsoft Purview Audit. Users are required to possess Microsoft 365 Copilot licenses to access this feature, which can be acquired through the Microsoft Marketplace. This cutting-edge solution not only simplifies the compliance review workflow but also significantly boosts overall organizational productivity by minimizing delays and improving responsiveness to compliance needs. Furthermore, by providing instant feedback on compliance matters, it empowers employees to make informed decisions, fostering a culture of accountability and awareness within the organization.

Media

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Media

No images available

Integrations Supported

Integrations Supported

Microsoft 365

API Availability

API Availability

Pricing Information

Pricing is scoped to the selected pillars and modules and the firm's deployment.

Pricing Information

$5/month/user
Free Trial Offered?

Supported Platforms

SaaS

Supported Platforms

SaaS

Customer Service / Support

Standard Support
Web-Based Support

Customer Service / Support

Not specified

Training Options

Documentation Hub
Webinars
On-Site Training

Training Options

Documentation Hub

Company Facts

Organization Name

SurgeONE

Date Founded

2024

Company Location

United States

Company Website

www.surgeone.ai/

Company Facts

Organization Name

Gryphon Technologies

Date Founded

2026

Company Location

United States

Company Website

complianceos365.com

Categories and Features

Categories and Features

Compliance

Not specified

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