Supervision, suitability and ESG disclosure in one programme
Run conduct supervision, client suitability controls, operational resilience and sustainable-finance disclosure from a single control library.
What wealth management teams tell us
Conduct and suitability under scrutiny
Evidence advice suitability checks, marketing approvals and supervisory reviews with a defensible trail per adviser.
Complaints signal conduct risk
Log complaints once, meet response deadlines and roll themes into the risk register instead of a quarterly slide.
Sustainable finance disclosure
Collect fund-level ESG data, document methodology and produce disclosures that survive review.
Outsourced operations concentrate risk
Tier custodians, administrators and data vendors, then monitor their resilience and contract obligations continuously.
What you get in the first quarter
- Supervision evidence collected as work happens
- Complaint deadlines tracked automatically
- Fund-level ESG data with source documents
- Committee reporting from live risk data
Frameworks included
- SEC / FINRA
- MiFID II
- SFDR
- DORA
- ISO 27001
- ISSB
The modules wealth management teams start with
Every module shares the same control library, so you can add the next one without rebuilding anything.
Compliance automation
One control library mapped to every framework in scope.
Explore module →Complaint management
Intake, deadlines, root cause and conduct-risk evidence.
Explore module →Enterprise risk
Quantified registers, appetite thresholds and treatment plans.
Explore module →ESG & sustainability
Scope 1–3 data, double materiality and assurance-ready reporting.
Explore module →Third-party risk
Tiering, due diligence and continuous vendor monitoring.
Explore module →Policy management
Author, approve, publish and attest with full version history.
Explore module →Also deployed in
See TrustsComply configured for wealth & asset management.
A 30-minute walkthrough using the frameworks and risk content your sector is measured against.