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Average Ratings 0 Ratings

Total
ease
features
design
support

No User Reviews. Be the first to provide a review:

Write a Review

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regulations, consolidating various documents and data from Word files, spreadsheets, email inboxes, shared drives, and outdated websites into a single, transparent, and audit-ready framework.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 

Screenshots View All

Screenshots View All

Integrations

Microsoft Word 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 

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