Compliance

Minimize compliance risk with security & permissions

Gain complete control over research permissions, monitoring, and reporting while automating key compliance workflows.

Key Features
Compliance Dashboards Alerts No-Code Admin Toolkit

The Status Quo

Organizations often lack centralized control over research permissions and access. Manual monitoring and reporting create significant operational burden, while fragmented systems make maintaining audit trails difficult. Without proper automated controls, compliance teams struggle to enforce policies consistently and demonstrate oversight to regulators.

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.

How It Works

The platform’s No-Code Admin Toolkit lets compliance teams configure permissions, rules, and monitoring in a way that reflects their firm’s best practices.

Step 1: Configure Your Permission Structure

Set up your organizational hierarchy, user roles, and granular permissions through an intuitive admin interface. Define sharing walls between teams and control access to research content.

Step 2: Establish Your Monitoring Rules

Create automated compliance rules that trigger alerts based on specific actions or thresholds. Route notifications to relevant stakeholders via email or Microsoft Teams.

Step 3: Deploy Your Dashboards & Reports

Using the No-Code Admin Toolkit, build custom dashboards to monitor research activities, track policy adherence, and generate compliance reports. Maintain detailed audit trails of all system activity.

Important Integrations

Authentication Apps

With integrations with Azure & Intune, Duo, and Okta, you can integrate your firm’s authentication best practices and manage access in VerityRMS.

Microsoft Teams

Get real-time alerts for relevant research notes sent directly to Microsoft Teams channels.

VerityRMS API

Use the API to make sure you have the most complete picture of your investment data. Integrate your team's intellectual property and investment content from VerityRMS into downstream applications for reporting.

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