Docupace Surveillance and Compliance
Automate Compliance and Surveillance to Save Time and Reduce Risk
Compliance doesn’t have to be this hard. Docupace is here to change that. With our automated, trade surveillance platform, you’ll stay audit-ready and compliant without the constant stress. We help you focus on what really matters: managing risk and providing excellent service to your advisors.
A Single Platform to Manage Trade Compliance with Ease
Customizable, Rule-Driven Trade Compliance
Don’t worry about managing multiple systems or keeping track of endless compliance rules. Docupace’s Trade Surveillance is built specifically for the wealth management industry, allowing you to create and automate your own compliance rules. Our platform handles everything from trade alerts to audits, saving you hours of work.
Dynamic, Real-Time Compliance Management
As regulations evolve, Docupace evolves with them. You can create customized rules and receive real-time alerts for any compliance issues. The platform stays up to date with the latest regulations so your team is always in sync and ahead of the game.
Cost-Effective and Efficient
We understand that compliance solutions can be expensive. Docupace provides all the tools you need to stay compliant, with regular updates and built-in support, all while keeping costs predictable and manageable.
Bring Your Compliance and Surveillance into One Solution
Protect sensitive information with advanced encryption
Automatically aggregate, clean, and normalize data to ensure seamless compliance. Avoid data errors and reduce the burden on your team. Your rep licenses are automatically updatedfrom FINRA and NIPR
Create, test, and adjust compliance rules on demand
Our platform enables you to design rules that fit your firm’s specific requirements, ensuring precise compliance monitoring and easy adjustment as regulations change. This flexibility gives you a fully tailored solution.
Generate compliance reports in minutes, not weeks
Docupace streamlines reporting, reducing audit preparation time significantly. Impress regulators with fast, accurate data that’s ready when you need it.
Instantly route alerts for quick resolution
With real-time alerting and automated escalation pathways, issues are flagged and sent to the appropriate team members immediately, allowing for faster response and streamlined workflows.
Protect sensitive information with advanced encryption
Your clients' data is sensitive. Our platform complies with all data protection standards, using encryption and access control to ensure that your clients’ information remains secure and compliant with regulations like GDPR and CCPA.
Stay Ahead of Risks with Intelligent Compliance
Compliance doesn’t have to be chaos. Docupace simplifies everything with automated tools that cut through the clutter, eliminate risks, and keep you ahead of regulations. Real-time alerts, custom rules, audit-ready reports — it’s compliance made effortless, so you can focus on what really matters.
Post-trade and Ongoing Compliance Support
Discover how Docupace streamlines compliance from trade execution to post-trade and beyond.
7 Critical Trade Surveillance Alerts
Understand key compliance risks and how automated monitoring can help. Download our infographic to stay ahead of potential issues.
Automated Trade Surveillance & Compliance — Simplified
Managing trade compliance shouldn’t slow your firm down. Docupace automates monitoring, flags high-risk trades, and generates audit-ready reports so your team can focus on proactive risk management. Get the details in our Surveillance & Compliance Datasheet.