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features
design
support

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Description

The Compliance Suite platform is a versatile and innovative technology solution designed to facilitate the preparation and submission of various regulatory forms, including the Securities and Exchange Commission’s Form N-PORT, Form N-CEN, Form N-MFP, and Form PF, along with other filing obligations such as Annex IV of AIFMD and CFTC, and NFA Form CPO-PQR. Additionally, it offers comprehensive tools for risk management, performance monitoring, and managing pipeline and relationships within the asset management sector. This user-friendly and scalable solution delivers the adaptability needed to navigate today’s fast-paced business, risk, and regulatory environments. The architecture of Compliance Suite allows for customization, enabling the system to be utilized for purposes beyond just regulatory filings. Furthermore, it serves as a data repository for internal risk assessment and investor reporting, while also featuring a customizable dashboard and fund performance charting capabilities to enhance user experience. Ultimately, this platform empowers asset managers to streamline compliance processes and improve operational efficiency.

Description

Diligent Entities empowers businesses to consolidate and oversee their corporate subsidiary data management, streamlining entity governance across the organization, which enhances compliance and reduces risk. By providing a unified platform, Diligent Entities enables firms to effectively organize and manage their corporate records, thereby improving governance, ensuring compliance, minimizing risks, and facilitating informed decision-making through an integrated governance framework. It allows for the secure storage of entity data, documents, and organizational charts, establishing a reliable single source of truth. The solution also supports the continuous accuracy of corporate records with tools such as compliance calendars, reminders, and workflows to enhance data integrity. Additionally, it ensures that essential information reaches the appropriate stakeholders promptly to facilitate routine business operations. With capabilities to report on governance and compliance obligations, organizations can also electronically submit statutory forms to regulatory bodies worldwide, ensuring they remain compliant and informed in a dynamic regulatory landscape.

API Access

Has API No 

API Access

Has API No 

Screenshots View All

Screenshots View All

Integrations

AWS GovCloud Yes 
Agent Payments Protocol (AP2) Yes 
Appway Digital Banking Yes 
Cevinio Yes 
Infor Talent Science Yes 
LivePreso Yes 
Microsoft Excel No 
MishiPay Yes 
MySQL Workbench Yes 
Oracle Audience Segmentation Yes 
Oracle Digital Assistant Yes 
Oracle Partner Relationship Management Yes 
Oracle Unity Customer Data Platform Yes 
Orbiit Yes 
REACH Yes 
Rayven No 
ServiceNow IT Operations Management Yes 
ServiceNow Integrated Risk Management Yes 
Verbio Yes 
Veritone Discovery Yes 

Integrations

AWS GovCloud No 
Agent Payments Protocol (AP2) No 
Appway Digital Banking No 
Cevinio No 
Infor Talent Science No 
LivePreso No 
Microsoft Excel Yes 
MishiPay No 
MySQL Workbench No 
Oracle Audience Segmentation No 
Oracle Digital Assistant No 
Oracle Partner Relationship Management No 
Oracle Unity Customer Data Platform No 
Orbiit No 
REACH No 
Rayven Yes 
ServiceNow IT Operations Management No 
ServiceNow Integrated Risk Management No 
Verbio No 
Veritone Discovery No 

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

Customer Support

Business Hours Yes 
Live Rep (24/7) Yes 
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

Deloitte

Founded

1845

Country

United Kingdom

Website

www2.deloitte.com/content/dam/Deloitte/us/Documents/risk/us-risk-financial-technology-compliance-suite.pdf

Vendor Details

Company Name

Diligent

Founded

1994

Country

United States

Website

diligent.com/entity-management-software

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 

Product Features

Entity Management

Access Control Yes 
Compliance Management Yes 
Contract Management No 
Corporate Structure Management Yes 
Document Assembly No 
Due Date Tracking Yes 
Electronic Filing Yes 
Electronic Signature Yes 
Multi-Jurisdictional Yes 
Ownership Tracking Yes 
Records Tracking Yes 
Registered Agent Services Integration Yes 
Subsidiary Governance Yes 
Task Management Yes 

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