Solutions Compliance

Safeguard Your Organization From Compliance Risk

Build inherent compliance into your processes with Katipult’s equity capital markets software.

Keep Your Team on the Right Side of Compliance


Eliminate Not in Good Order Subscription Documents

Reduce time spent on subscription document revision and error correction.


Always be Audit-Ready

All activity has a footprint that is user-specific and time-stamped for accurate auditing capabilities.


Keep Internal Processes Standardized

Ensure that the entire staff in each respective division is following compliant processes while also adhering to company and regulatory policies.

Improve Efficiency with Centralized and Highly
Automated Document Markup

Setup a single PDF copy of the subscription document and have it auto-generated correctly for every investor, in a guided and fully compliant workflow.

  • Version Control
  • Automated Document Generation
  • Managed Investor Permissions
  • Error Free & Easy to Use

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Solutions Compliance 1

Keep Detailed Records of All Audit-Relevant Data

Solutions Compliance 2

Keep all activity centralized and easily accessible for internal or external audits. Readily available audit logs and time stamps allow for immediate validation of user activity.

  • Investor Audit Logs
  • Restorable Backups & Storage
  • Real-Time Dashboards
  • 24/7 Server Infrastructure

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Implement Electronic Signatures and Automated
Subscription Document Processing

Investors can access auto-populated subscription documents via email and simply apply signatures and initials where required.

  • Document Generation

  • Automated Data Population

  • Electronic Signatures

  • Document Storage and Access

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Solutions Compliance 3

How It Works


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

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



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



Remove human error from the critical investor workflows so that subscription documents are completed fully and accurately every time.


Real Time Dashboards

Monitor firm activity from investment advisors and investors with real-time activity dashboards.

Ready to simplify your private placements process?

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