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Empower Your Compliance Team

Your firm is a fluid and ever-changing entity, and regulatory notices can occur at anytime. Ensuring that the entire staff in each respective division is following compliant processes, adhering to company and regulatory policies, and acting responsibly in all discretionary scenarios is an impossible reality with manual workflows.

Katipult provides a set of powerful, easy to use tools to assist compliance to safeguard the organization from compliance risks, while creating centralized and highly organized records of all transaction activity. With Katipult, introducing standardized and compliant workflows is inherent and there is certainty all team members are on the right side of compliance in the case of an audit.

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Inherent Compliance

Inherent Compliance

Limit the activity of investment advisors, investment advisor teams, and investors by applying permission levels for exemptions, suitability, and other
pertinent conditions.

Audit Trails & Analytics

Audit Trails & Analytics

All activity has a footprint that is user-specific and time stamped so preparation for an audit is streamlined.

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Reporting

Easily find the information you require within centralized and highly organized digital records.

Are You Ready For Digital Transformation?

Learn how Katipult can empower your team to focus on value added work