RIA Compliance Solutions for Investment Advisers, Compliance Officers, and Compliance Consultants
Available to use independently or as a suite of tools. Each solution is designed to reduce operational risk, eliminate manual processes, and keep your firm exam-ready.
A centralized compliance management platform for registered investment advisers, compliance officers, and compliance consultants. One place for calendars, task tracking, submissions, approvals, and ADV updates. Organized, audit-ready, and simple to use.
An SEC and FINRA-compliant communication archiving solution for RIAs. Email, text, SMS, website, and social media communications are automatically captured, retained, and searchable.
A personal trade monitoring solution for registered investment advisers and compliance teams. Employee accounts are linked electronically and trades are reviewed in one fast, organized digital workflow. No paper statements, no manual tracking, no missing records.
All Products Can Be Purchased Separately Or Combined Into A Bundle
Simple Compliance Portal gives registered investment advisers, compliance officers, and compliance consulting firms one centralized location for every compliance obligation; calendars, task tracking, employee submissions, policy approvals, ADV updates, and procedure testing. Nothing lives in a spreadsheet or a shared drive, and every action is logged with a timestamp so your firm has a complete, organized record of its compliance program at any point in time.
Yes — Simple Compliance Portal is built to support compliance consulting firms managing oversight across multiple RIA clients from a single login. Each client firm operates within its own organized workspace with standardized workflows that can be customized to their specific compliance program. Consultants deliver consistent, exam-ready compliance programs across their entire client base without switching platforms or rebuilding processes for each firm.
Simple Email Archive captures and retains email, text message, SMS, website, and social media communications in a secure, searchable, SEC and FINRA-compliant format so your firm maintains a complete, retrievable record of all correspondence.
Simple Email Archive captures off-channel communications automatically and stores them in the same searchable, compliant archive as email. Your firm can demonstrate complete communication retention to any examiner without reconstructing records manually.
Simple Trade Monitor eliminates paper statements, manual tracking, and missing documentation from the personal trading review process for RIAs and compliance teams by linking employee accounts electronically so trades are reported and reviewed automatically in one organized digital workflow.
Employees link their personal brokerage accounts through Simple Trade Monitor. Once accounts are linked, trade reporting and review happens automatically inside the platform. New employees can be onboarded and reviewed immediately, with no delays in establishing compliant personal trading oversight.