Compliance

Build the compliance story with minimal effort

Transform your compliance oversight with instant access to the entire research story behind every investment decision made by your team.

Key Features

Integration Suite Flexible Data Model

The Status Quo

Compliance teams struggle to piece together the full picture of investment decisions from fragmented data across emails, shared drives, and disconnected systems. Putting the story together often requires numerous interruptions of the front-office team. Manual oversight processes strain resources while increasing risk of missing critical compliance issues.

How VerityRMS Helps

By automatically capturing and organizing all research content and investment workflows in a single system, VerityRMS gives compliance teams complete visibility and control. Generate compliance reports, respond to regulatory inquiries, and monitor investment activity in real-time without disrupting analyst workflows.

This dashboard shows all the firm's research and meeting notes on Tencent, making it easy for compliance teams to tell the story.

How It Works

VerityRMS aggregates research content, communications, and investment data into a unified platform with built-in compliance controls and reporting capabilities. The system maintains detailed audit trails while automated tagging and organization makes oversight effortless.

Step 1: Search For a Company or Topic

Leverage search capabilities to instantly find and review all research content, communications, and investment decisions related to any company or compliance topic. Generate comprehensive reports with just a few clicks.

Step 2: Add Fields to Note Templates

Customize templates to capture the exact compliance data points needed for your oversight requirements. Track regulatory metrics, approvals, and risk factors while maintaining analyst workflow efficiency.

Step 3: Pipe in Data From Relevant Sources

Integrate external data sources to enrich your compliance monitoring. Connect portfolio systems, trade data, and third-party content to create a complete view of investment activities and maintain comprehensive audit trails.

Step 4: Set Up Dashboards & Reports That Pull It All Together

Build real-time monitoring dashboards and automated reports that give you instant visibility into compliance across the organization. Export data, generate documentation, and scale oversight as your needs evolve.