Compliance and Risk

Our platforms help you navigate the legal risk and compliance challenges of building a private asset offering direct for HNW clients. Institutions can customize their on-platform compliance work flow to meet firm specific risk and compliance requirements.

Key Features

Digital signatures, ingrained appropriateness/suitability and MiFID classification helps streamline compliance processes.

Controlled infrastructure to allow grading of offering between retail and professional clients.

Automated renewal of compliance documentation.

Set-up for easy reviewing by first line compliance teams.

MiFID II updates to help firms be reactive to ever changing regulatory landscape