Audit Trail and Exam Readiness
Every action in the platform is logged with timestamps, user identity, and IP address. When examiners come calling, generate exam-ready exports that demonstrate your firm's culture of compliance with a few clicks.
Incomplete Records Are the Number One Exam Deficiency
If you cannot produce records promptly, examiners assume the worst.
SEC and FINRA examinations begin with document request lists. Firms that scramble to assemble records from multiple systems, email threads, and shared drives signal a weak compliance program. A centralized, searchable audit trail transforms exam preparation from a weeks-long ordeal into a same-day response.
How It Works
Continuous logging to exam-ready exports
Every Action Logged
Every login, review, approval, upload, and configuration change is captured with user identity, timestamp, and IP address.
Search and Filter
Find any event instantly. Filter by user, date range, action type, module, or keyword to locate exactly what examiners request.
Compliance Reporting
Generate pre-built regulatory reports or create custom views. Data is formatted to match common examiner request lists.
Exam-Ready Exports
Export complete records in PDF, CSV, or Excel. Packages include supporting documents, timestamps, and chain-of-custody data.
Key Capabilities
Complete audit infrastructure
Comprehensive event logging for every action
Timestamped records for every user action
Pre-built SEC and FINRA exam export templates
Bulk export in PDF, CSV, and Excel formats
Persistent record storage for exam readiness
User activity reports by individual or team
Advanced filtering and search
SEC exam preparation checklists
Regulations Covered
Record-keeping requirements built in
Ready to transform your compliance workflow?
Be among the first to experience AI-powered compliance technology.