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What is Zango?

Zango is an advanced AI-driven compliance framework specifically designed for the financial services industry. It employs AI agents to monitor more than 700 regulatory entities spanning over 120 jurisdictions in the UK, EU, and US, including prominent organizations such as the FCA, PRA, EBA, SEC, and FINRA, and it effectively evaluates regulatory changes based on the unique licenses, jurisdictions, and business profiles of firms, ensuring that only pertinent information is delivered to teams. The platform thoroughly encompasses various compliance dimensions, such as horizon scanning, managing regulatory alterations, extracting obligations down to sub-section levels, and performing gap analyses against internal policies and procedures. Furthermore, it supports risk and control mapping, control testing with audit-ready documentation, product risk assessments, and evaluations of financial promotions in line with FCA COBS and Consumer Duty standards, in addition to customizable agents for onboarding, KYC, KYB, and due diligence activities. Zango integrates smoothly with current governance, risk management, and compliance (GRC) systems, thus augmenting their capabilities. Each output generated by the AI is rigorously reviewed by compliance experts to guarantee its precision and dependability. The platform is certified with SOC 2 Type II and ISO 27001, reflecting its dedication to data security and adherence to compliance standards, and potential customers can inquire about pricing via the website link included in this description. By utilizing Zango, organizations can not only enhance their compliance procedures but also uphold superior levels of regulatory compliance and efficiency in their operations. Ultimately, this results in a more robust framework for managing compliance obligations effectively.

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.

Media

Media

Integrations Supported

Google Drive
Microsoft SharePoint
Slack

Integrations Supported

Google Drive
Microsoft SharePoint
Slack

API Availability

Has API

API Availability

Has API

Pricing Information

Quote on request. Annual subscription priced by module, firm size and number of jurisdictions. No free version or trial. Contact the Zango team via the website link on this listing.
Free Version
Free Trial Offered?

Pricing Information

Pricing not provided
Free Version
Free Trial Offered?

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

Zango

Date Founded

2024

Company Location

United Kingdom

Company Website

www.zango.ai

Company Facts

Organization Name

COMPLY

Company Location

United States

Company Website

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

Categories and Features

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

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