Compliance solution

SM&CR Compliance You Can Evidence

Align responsibilities maps, certifications, and conduct rules evidence in one control plane.

Stronger accountabilityConsistent reportingAudit-ready records
What you get

Outcomes you can evidence.

SoR workflows

Maintain Statements of Responsibilities.

Certification tracking

Monitor renewal dates and evidence.

Conduct rules

Capture attestations and breaches.

How it works

Evidence it, step by step.

Align responsibilities maps, certifications, and conduct rules evidence in one control plane.

01

Map

Define responsibilities and accountability.

02

Certify

Run fitness and propriety checks.

03

Monitor

Track breaches and remediation.

Who it helps

Built for the teams who own this.

  • Banks and investment firms
  • SM&CR program owners

Ready to put SM&CR Compliance to work?

Align responsibilities maps, certifications, and conduct rules evidence in one control plane.