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Average Ratings 0 Ratings

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ease
features
design
support

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Write a Review

Description

DORA 360 is a flexible and scalable SaaS solution specifically designed for financial institutions to create, integrate, and showcase operational resilience. It seamlessly links business operations with policies, risk management controls, IT infrastructures, third-party vendors, incidents, and relevant data, providing a cohesive approach to demonstrating regulatory compliance throughout Europe. Tailored to facilitate adherence to the Digital Operational Resilience Act (DORA), DORA 360 also encompasses additional international ICT standards, including NIST and ITIL, to ensure comprehensive and efficient compliance management. The platform is powered by Magpie AI, a regulatory intelligence engine aimed at enhancing the DORA compliance process. By leveraging the capabilities of generative AI, Magpie AI offers immediate responses to inquiries related to DORA, while also providing real-time updates on regulations, predictive compliance analytics, automated gap assessments, and ongoing monitoring to ensure that compliance status remains current. With these features, financial institutions can navigate the complexities of regulatory demands with greater ease and confidence.

Description

RIA in a Box serves as a robust, all-encompassing compliance management solution specifically designed for Registered Investment Advisers (RIAs) to efficiently manage and monitor their regulatory responsibilities under both SEC and state laws. This platform integrates crucial compliance processes into a single, user-friendly interface, featuring a customizable compliance calendar and log that comes pre-filled with best practice recommendations. Additionally, it automates the registration and filing processes, including the preparation of essential documents such as Form ADVs and Codes of Ethics. The platform also provides extensive archiving of communications across various channels like email, social media, and websites, equipped with advanced filtering and review capabilities. Moreover, it supports a guided annual review process that complies with SEC Rule 206(4)-7, incorporates structured risk assessments linked to compliance policies, and offers oversight tools for monitoring employee activities, which include trading, outside business activities, and attestations. Furthermore, it includes a built-in cybersecurity compliance feature grounded in the NIST framework, ensuring that vendor due diligence is comprehensively addressed. This all-in-one solution empowers RIAs to maintain compliance more effectively than ever before.

API Access

Has API No 

API Access

Has API Yes 

Screenshots View All

Screenshots View All

Integrations

No details available.

Integrations

No details available.

Pricing Details

No price information available.
Free Trial No 
Free Version No 

Pricing Details

No price information available.
Free Trial No 
Free Version No 

Deployment

Web-Based Yes 
On-Premises No 
iPhone App No 
iPad App No 
Android App No 
Windows No 
Mac No 
Linux No 
Chromebook No 

Deployment

Web-Based Yes 
On-Premises No 
iPhone App No 
iPad App No 
Android App No 
Windows No 
Mac No 
Linux No 
Chromebook No 

Customer Support

Business Hours No 
Live Rep (24/7) No 
Online Support Yes 

Customer Support

Business Hours Yes 
Live Rep (24/7) No 
Online Support Yes 

Types of Training

Training Docs Yes 
Webinars No 
Live Training (Online) No 
In Person No 

Types of Training

Training Docs Yes 
Webinars Yes 
Live Training (Online) Yes 
In Person Yes 

Vendor Details

Company Name

Gieom

Founded

2012

Country

India

Website

dora360.ai/

Vendor Details

Company Name

COMPLY

Country

United States

Website

www.comply.com/products/ria-in-a-box/

Product Features

Compliance

Archiving & Retention No 
Artificial Intelligence (AI) No 
Audit Management No 
Compliance Tracking No 
Controls Testing No 
Environmental Compliance No 
FDA Compliance No 
HIPAA Compliance No 
ISO Compliance No 
Incident Management No 
OSHA Compliance No 
Risk Management No 
Sarbanes-Oxley Compliance No 
Surveys & Feedback No 
Version Control No 
Workflow / Process Automation No 

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