Orion’s compliance solution can help you proactively secure and scale your firm's regulatory procedures, while allowing you to leverage in-house data to eliminate outsourcing fees and reduce the possibility of a data breach.
Organize and produce
records for the SEC or state regulatory exams.
routine mock audits of internal policies and processes to verify compliance.
Recurring queries to supervise firm procedures while monitoring client account activities.
View and maintain
13F filing reports and Form ADV reporting information on convenient dashboards.
clients to ensure they have no prior money-laundering history.*
employee trade activities, affirmations, and disclosures to satisfy Code of Ethics obligations**
*Subject to additional fees
**Subject to additional fees and can be purchased as a standalone solution
“Orion understands the importance of monitoring data in real-time. That’s a huge help in my role as a Chief Compliance Officer.”
-Michael Sabre, CFO/CCO, Mount Yale
62% of advisors complete compliance tasks at least 25% faster with Orion.
Tech Validate – TVID: EB6-EE5-CB0