Average Ratings 0 Ratings
Average Ratings 0 Ratings
Description
Esper serves as a comprehensive platform for managing government policies and regulations, consolidating various documents and data from Word files, spreadsheets, email inboxes, shared drives, and outdated websites into a single, transparent, and audit-ready framework. By organizing and maintaining accessibility of policies and regulations, it alleviates the workload on government staff while ensuring compliance and efficiency. The Regulation & Code Management feature streamlines the rulemaking and regulatory drafting processes into an integrated workflow, enabling collaborative drafting, redlining, approval processes, version control, compliance deadlines, task assignments, reminders, and automated publishing, which all work together to keep projects on schedule and highlight any potential bottlenecks. Meanwhile, the Policy & Procedure Management component centralizes internal policies within an intelligent system, offering tailored workflows, a searchable library of policies, acknowledgment tracking, communication tools, digital attestations, audit trails, reporting dashboards, and analytical insights that empower leaders to demonstrate compliance during oversight reviews. Overall, Esper enhances the way governments manage and implement their regulatory frameworks, fostering a more organized and effective approach to governance.
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
Integrations
Microsoft Word
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
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)
Yes
In Person
No
Types of Training
Training Docs
Yes
Webinars
Yes
Live Training (Online)
Yes
In Person
Yes
Vendor Details
Company Name
Esper
Founded
2018
Country
United States
Website
esper.com
Vendor Details
Company Name
COMPLY
Country
United States
Website
www.comply.com/products/ria-in-a-box/
Product Features
Government
Budgeting & Forecasting
No
Code Enforcement
No
Compliance Management
No
Fixed Asset Management
No
Inventory Management
No
License Issuance
No
Permit Issuance
No
Purchasing & Receiving
No
Self Service Portal
No
Taxation & Assessment
No
Utility Billing
No
Work Order Management
No
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