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Ratings and Reviews 1 Rating
Alternatives to Consider
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HaastHaast is the AI engine for marketing compliance, built for enterprise marketing, legal, and compliance teams. It deploys AI agents that automate manual compliance work across the entire content lifecycle - from pre-publication review and approvals to continuous monitoring of live websites, social media, and partner channels. Unlike traditional compliance tools, Haast learns your organization’s unique risk tolerance and applies it consistently across all content, channels, and teams. This enables marketers to self-serve compliance and resolve issues before publishing, while giving legal teams faster, more reliable oversight without becoming a bottleneck. Haast analyzes text, images, PDFs, video, and web content to identify real regulatory and brand risks, providing clear, actionable fixes. It supports both pre-launch checks and always-on monitoring, helping enterprises detect issues early and reduce exposure to regulatory fines or reputational damage. Built for complex, regulated environments like financial services, retail, telecommunications and gaming, Haast adapts to internal policies, approval workflows, and evolving regulatory requirements across regions and business units. By embedding directly into end-to-end workflows, it replaces slow, manual review processes with scalable, automated compliance infrastructure. The result is faster go-to-market, reduced compliance risk, and a more efficient way for marketing and legal teams to work together.
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Predict360Predict360, developed by 360factors, serves as a comprehensive risk and compliance management platform designed to streamline workflows and improve reporting for various financial institutions, including banks, credit unions, and insurance companies. This cloud-based SaaS solution consolidates essential components such as regulations, compliance management, risk assessments, controls, key risk indicators (KRIs), audits, policies, and training into one cohesive platform while offering powerful analytics and insights that help clients foresee risks and enhance compliance efforts. If your current Governance, Risk, and Compliance (GRC) system isn't equipped with an effective analytics and business intelligence tool for creating insightful reports for executives and board members, consider Lumify360 from 360factors. This predictive analytics platform can seamlessly integrate with any existing GRC, allowing you to maintain your workflow processes while equipping stakeholders with the timely reports and dashboards they require for informed decision-making. With these advanced tools at your disposal, you'll be better positioned to navigate the complexities of regulatory compliance and risk management.
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Dynamo SoftwareDynamo brings together all the essential tools for alternative investment management into one adaptable platform. Our modules are built on a unified technology stack, creating a centralized and automated solution for private equity, venture capital, real estate, infrastructure, hedge funds, endowments, pensions, foundations, prime brokers, fund of funds, family offices, and fund administrators. By automating manual tasks with customizable dashboards, workflows, and reporting, Dynamo reduces your operational load. This frees up your team to focus on the insights and relationships that drive success. Our experienced Client Services and Support team is dedicated to ensuring you achieve lasting excellence, helping you tailor the platform to your unique business needs. This commitment to client success is a core part of what sets Dynamo apart.
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Keeper SecurityThe cornerstone of cybersecurity lies in password security. Keeper offers a robust password security platform designed to shield your organization from cyber threats and data breaches associated with password vulnerabilities. Studies indicate that a staggering 81% of data breaches stem from inadequate password practices. Utilizing a password security solution is a cost-effective and straightforward method for businesses to tackle the underlying issues that lead to most data breaches. By adopting Keeper, your organization can greatly lower the chances of experiencing a data breach. Keeper generates strong passwords for every application and website, ensuring they are securely stored across all devices. Each employee is provided with a personal vault to manage and safeguard their passwords, credentials, and files, along with sensitive client information. This alleviates the hassle of remembering or resetting passwords and eliminates the need to reuse them. Additionally, maintaining industry compliance is facilitated by stringent and customizable role-based access controls, inclusive of two-factor authentication, usage audits, and detailed event reporting. Furthermore, the implementation of Keeper not only enhances security but also promotes a culture of accountability and vigilance within your organization.
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ThreatLockerThreatLocker is a Zero Trust platform designed to prevent cyber threats by ensuring only trusted applications and processes are allowed to operate. It eliminates persistent admin privileges, applies least privilege controls, and gives organizations granular control over how software runs. Through application allowlisting, ringfencing, and storage controls, it blocks ransomware, zero day attacks, and unauthorized behavior before anything can execute. Built for today’s IT and security teams, ThreatLocker delivers centralized control and real time visibility across endpoints, users, and applications. It reduces attack surface, limits lateral movement, and supports compliance with detailed logging and audit trails. With rapid deployment, a continuously maintained application library, and efficient approval processes, organizations can enhance security while lowering operational complexity and maintaining uptime.
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ESET PROTECT AdvancedESET Protect Advanced delivers a robust cybersecurity solution tailored for organizations of various sizes. This platform provides cutting-edge endpoint security to combat ransomware and zero-day vulnerabilities effectively. It features full disk encryption to uphold legal standards and safeguard data integrity. The solution employs adaptive scanning, cloud sandboxing, and behavioral analysis to defend against emerging cloud-based threats proactively. Additionally, mobile threat protection encompasses anti-malware and anti-theft measures for both Android and iOS devices. Beyond this, it includes cloud application security, mail server protection, vulnerability assessment, patch management, and comprehensive cloud app safeguards. Enhancements such as multi-factor authentication and extended detection and response (XDR) bolster threat detection and response capabilities. The system offers a unified remote management interface that allows for seamless visibility into threats and user activities. Furthermore, it provides in-depth reporting and tailored notifications to keep users informed of potential risks and system status. This holistic approach ensures that businesses can maintain a strong security posture in an increasingly complex digital landscape.
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myACIACI Learning delivers hands-on IT and cybersecurity training that goes beyond theory—helping learners build real, job-ready skills that stick. Our approach is practical and results-driven, combining immersive virtual labs, certification prep, and instruction led by seasoned industry professionals who understand what it takes to succeed in the field. Whether you’re managing a team or investing in your own growth, myACI—ACI Learning’s all-in-one training platform—bridges the gap between learning and doing. It’s designed to transform knowledge into measurable performance, empowering learners to apply what they’ve learned immediately on the job. myACI keeps engagement high with expert-led video content, gamified elements like skill points, and learning paths. For leaders, robust dashboards and analytics make it easy to assign training, track progress, and connect learning to business outcomes. Enterprise-ready and globally trusted, myACI also offers Marketplace access to expand training beyond IT and cybersecurity. Scalable, flexible, and built for today’s workforce, ACI Learning helps you build a stronger team and prove the ROI of every training initiative.
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GoAnywhere MFTGoAnywhere MFT provides businesses with a reliable solution for secure file transfers. This software can be utilized in various environments, including on-premise, cloud, or hybrid setups. It enables organizations to safely share data among employees, clients, trading partners, and different systems. Additionally, GoAnywhere MFT has been recognized with the Cybersecurity Excellence Award for its excellence in secure file transfer capabilities, highlighting its effectiveness in the industry. This recognition underscores the software's commitment to maintaining high security standards in data exchange.
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D&B Risk AnalyticsAround the world, teams focused on risk management, procurement, and compliance face increasing demands to navigate the challenges posed by geopolitical and business risks. The intricacies of both domestic and international operations, alongside a myriad of regulations, significantly influence third-party risks. Therefore, it is essential for organizations to take a proactive approach in managing their relationships with third parties. This innovative platform, leveraging the D&B Data Cloud's extensive database of over 520 million global business records and more than 2 billion updates each year, serves as an AI-driven tool that continually assesses and mitigates counterparty risk. D&B Risk Analytics incorporates top-tier risk data, providing alerts on high-risk transactions and identifying connections across a billion data points, all of which empower businesses to make well-informed choices. Additionally, the platform's intelligent workflows facilitate rapid and comprehensive screening processes, ensuring timely alerts on critical business metrics. As a result, companies can enhance their risk management strategies and improve their overall operational resilience.
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UniqkeyUniqkey stands out as Europe's foremost password and access management solution, streamlining security for employees while granting organizations superior oversight of their cloud systems, access protocols, and workforce administration. By addressing major threats to corporate infrastructure, Uniqkey protects essential systems and organizational credentials through cutting-edge encryption techniques. Additionally, it provides exclusive insights and a holistic overview of IT frameworks, employee access, and security metrics, proving invaluable for IT departments to effectively monitor security strategies and evaluate the success of educational initiatives with assurance. Thanks to robust integrations with existing platforms like Microsoft, IT administrators can efficiently manage user provisioning and de-provisioning, facilitating smooth onboarding and offboarding while ensuring comprehensive protection of their IT ecosystems through sophisticated encryption measures. Developed by top-tier security professionals in Europe, we utilize the latest encryption technologies, including the offline encryption of all data. Our advanced technology stack and servers, located in Denmark, guarantee optimal security, data reliability, and adherence to European standards, ultimately providing our clients with a sense of security and trust in our services. Furthermore, Uniqkey’s commitment to continual improvement ensures that we stay ahead in the evolving landscape of cybersecurity threats.
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 Smartria?
Smartria is a purpose-built RIA compliance software platform for managing and automating SEC and FINRA compliance programs. The platform is designed for registered investment advisors and can be customized around the compliance requirements, policies, workflows, and organizational structure of individual firms. Its compliance management capabilities centralize tasks, forms, regulatory deadlines, alerts, reminders, filings, records, and other recurring compliance activities. Automated workflows allow firms to reduce manual work associated with processes such as new employee onboarding, regulatory filings, employee oversight, and ongoing compliance administration. Marketing review tools manage the submission, review, approval, and rejection of marketing materials while automatically maintaining records of those decisions. Employee attestation capabilities document employee acknowledgments related to codes of ethics, outside business activities, personal holdings, political activities, insider relationships, and other compliance requirements. Smartria also provides trade monitoring with customizable trade rules, pre-clearance workflows, front-running alerts, and support for Know Your Client and Know Your Employee requirements. Vendor management functionality helps compliance teams maintain vendor information and monitor security certifications, vendor attestations, and reported incidents. Access and activity logging combined with reporting tools provide records of employee participation and compliance activity that can help firms prepare for regulatory audits. Smartria supports boutique RIAs, growing advisory firms, and enterprise organizations, with enterprise capabilities including branch management and SOC 2-aligned security infrastructure. Compliance consulting firms can use multi-client access, content publishing, and in-app communications to manage compliance programs for multiple RIA clients from the platform.
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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
Customer Service / Support
Standard Support
Web-Based Support
Customer Service / Support
Standard Support
Training Options
Documentation Hub
Webinars
On-Site Training
Training Options
Documentation Hub
Online Training
Company Facts
Organization Name
SurgeONE
Date Founded
2024
Company Location
United States
Company Website
www.surgeone.ai/
Company Facts
Organization Name
Smartria
Date Founded
2011
Company Location
United States
Company Website
smart-ria.com
Categories and Features
AI Compliance Management
Not specified
Categories and Features
Compliance
Archiving & Retention
Audit Management
Risk Management