Compliance Attestations and Certifications

Run annual certifications and ad-hoc attestation campaigns with automated distribution, electronic signatures, completion tracking, and overdue escalation — all in one place.

Unlimited

Campaigns

Electronic

Signatures

Built-in

Tracking

Chasing Signatures Wastes Your Most Valuable Resource

Compliance officers spend weeks every year tracking down missing attestations.

Annual compliance certifications are a regulatory requirement, not a nice-to-have. Yet most firms still manage them through email and manual follow-up. When examiners ask for proof that every employee acknowledged the Code of Ethics, you need a complete, auditable record — not an inbox search.

How It Works

From campaign launch to complete certification

1

Launch a Campaign

Create an attestation campaign targeting specific employees, teams, or the entire firm. Set deadlines and reminder schedules.

2

Automated Distribution

Employees receive email and in-app notifications with a direct link to review and sign the attestation document.

3

Review and Sign

Employees read the document, confirm understanding, and apply their electronic signature with a timestamp.

4

Track Completion

Monitor completion rates across the firm. Automated reminders notify employees as deadlines approach.

Key Capabilities

Everything for managing compliance attestations

Annual and ad-hoc certification campaigns

Completion analytics dashboard with trends

Automated reminders at 30, 7, and 1 day before deadline

Electronic signature capture with timestamps

Policy acknowledgment and training completion attestations

Historical attestation records for exam readiness

Bulk campaign management

Exception tracking and escalation workflows

Regulations Covered

Meet attestation requirements across frameworks

Rule 204A-1 — Code of Ethics Annual Acknowledgment
Rule 206(4)-7 — Compliance Program Annual Review
FINRA Rule 3110 — Supervisory Certification
SEC Regulation S-P — Privacy Notice Attestation
SOX Certification Requirements (for dual-registered firms)
Anti-Money Laundering (AML) Annual Certification

Ready to transform your compliance workflow?

Be among the first to experience AI-powered compliance technology.