Every Tool Your Compliance Team Needs

From AI-powered analysis to audit-ready reporting, Compliance Approved gives RIAs, broker-dealers, and dual registrants a single platform to manage every aspect of their compliance program.

AI Analysis

Tools for ai analysis

AI-Powered Compliance Analysis

Upload any document and get instant compliance determinations, regulation citations, and suggested rewording powered by AI.

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Review & Approval

Tools for review & approval

Marketing Review Workflow

Streamlined submit, review, and approve workflows with Rule 206(4)-1 checks and testimonial compliance built in.

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Ethics & Conduct

Tools for ethics & conduct

Code of Ethics & Personal Trading

Holdings reporting, pre-clearance requests, restricted list management, and brokerage account disclosure tracking.

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Compliance Attestations

Run annual certification campaigns, track completions in real time, and send automated overdue alerts.

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Training & Policies

Tools for training & policies

Training Management

Assign modules, track progress, issue completion certificates, and monitor FINRA CE requirements.

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Policy Library

Version-controlled policy documents with acknowledgment tracking and automated distribution management.

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Reporting & Audit

Tools for reporting & audit

Audit Trail & Exam Readiness

Every action logged with timestamps. Generate exam-ready exports for SEC, FINRA, and state regulators.

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Regulatory Calendar

Never miss a filing deadline. Track SEC and FINRA dates, set custom reminders, and assign tasks to your team.

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Ready to transform your compliance workflow?

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