Compliance software and services
2 guides, 11 comparisons
Software does not make a firm compliant; it carries a duty the rule puts on the firm. This drawer reads the products small firms buy for that work, from the CRM that holds client notes to the platform that runs the annual review and the tool that watches personal trading, and the consultants who run a program for you.
Each comparison names the duty first and then reads each vendor's own pages against it. Beside them, the guides cover when an outsourced CCO makes sense, and what trade surveillance asks of a small firm.
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Guides
- Outsourced CCO: when a small RIA should hire oneThe chief compliance officer duty under Rule 206(4)-7 and when an outsourced CCO makes sense for a small adviser.12 min read
- Trade surveillance for small firms, explainedWhat trade surveillance covers, what FINRA's supervision rule expects, and when a small firm needs a tool.12 min read
Comparisons
- Best CRM for financial advisors and RIAsCRMs for RIAs and reps, judged on the record-keeping jobs a CRM touches rather than on features alone.Comparison
- Best CRM for wealth management firmsCRMs for multi-adviser and family-office style firms that manage households, entities and teams.Comparison
- Best trade surveillance software for small firmsSurveillance tools for small broker-dealers and advisers: what the alerts cover and how reviews are documented.Comparison
- Best compliance software for small broker-dealersCompliance platforms for small FINRA member firms, judged on the supervision and record duties a broker-dealer carries.Comparison
- Best RIA compliance consultants for small advisersOutsourced compliance firms for advisers: the services each one offers and the firm sizes it serves.Comparison
- Best software for financial advisors: the compliant stackThe adviser software stack by category, with the record and supervision duty each piece touches.Comparison
- Best RIA compliance software for small firmsCompliance suites for SEC- and state-registered advisers, judged on the compliance program rule's three duties.Comparison
- Best personal trading compliance softwareCode-of-ethics software for access-person reports, pre-clearance and restricted lists.Comparison
- Redtail vs Wealthbox for RIAs and repsThe two adviser CRMs side by side on the record-keeping jobs a CRM touches.Comparison
- Best FINRA compliance consultants for small broker-dealersCompliance consultants for small broker-dealers: supervisory procedures, inspections, filings and AML support.Comparison
- Best free CRM for financial advisorsFree CRM tiers for advisers and the record-keeping features each free tier leaves out.Comparison
In the vendor directory
- Adviser CRM vendorsCRMs built for advisers and reps, with the record-keeping features each one says it has.
- RIA and broker-dealer compliance platformsPlatforms for policies, reviews, code-of-ethics reports and supervision at advisers and broker-dealers.
- Trade and personal-trading surveillanceTools that monitor client trading and access-person trading for supervisory review.
- RIA and BD compliance consultantsFirms that run outsourced compliance work for advisers and broker-dealers.