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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 SQL Power Suite?

Experience unmatched regulatory flexibility, autonomy, effectiveness, and transparency that fosters exceptional trust within the regulated market. The SQL Power Suite emerges as the leading and most influential Supervisory Technology solution on the market today. By providing remarkable adaptability, independence, efficiency, and clarity, it significantly improves the likelihood of timely and effective interventions, allowing all parties involved to retain the highest level of confidence in the regulatory framework. Specifically designed for Financial Regulators, SQL Power’s Financial Supervision platform is intended to enhance and automate every aspect of financial oversight. This highly configurable platform supports the automation of numerous processes, such as handling requests, managing license applications and renewals, financial reporting, payment collection, and conducting investigations, all facilitated through an intuitive web portal. With SQL Power, regulators gain the ability to fulfill their duties with unprecedented ease and effectiveness, ultimately redefining the realm of financial supervision and setting new standards for operational excellence. Furthermore, the integration of these advanced features not only simplifies workflows but also promotes a proactive approach to regulatory compliance.

Media

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Media

Integrations Supported

Additional information not provided

Integrations Supported

Additional information not provided

API Availability

API Availability

Pricing Information

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

Pricing Information

Pricing not provided

Supported Platforms

SaaS

Supported Platforms

SaaS
Windows

Customer Service / Support

Standard Support
Web-Based Support

Customer Service / Support

Web-Based Support

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

SQL Power Group

Date Founded

1988

Company Location

Canada

Company Website

www.sqlpower.ca

Categories and Features

Categories and Features

Compliance

Not specified

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