Automated Email Compliance and Archiving

Purpose-built for Registered Investment Advisors

A smarter RIA archiving and compliance solution

Demonstrate your commitment to SEC 17a-4 compliance by utilizing a proven tool to help in the process.

Archiving

All your email, web, and social media archives are stored in accordance with 17a-4 compliance regulations.

Reviews

Easily retrieve emails and web pages in the Presults™ user-friendly comprehensive dashboard.

Automation

Eliminate most of your work with our built-in compliance lexicons that stop emails before reaching the recipient.

Powering the first-ever self-regulating platform, drastically reducing compliance risk and manual reviews with AI-driven tools.

Save on reviews

Come up empty on keyword searches with our pre-sending alerts. By the time an email was sent out, the issue was already remediated.

Satisfy auditors

Demonstrate your commitment to SEC 17(a)-4 compliance by utilizing a proven tool to help in the process.

Employee training

By alerting employees to in-the-moment compliance breaches, they develop awareness and increased responsibility.

Built-in compliance lexicon

Set-it-and-forget-it with our constantly updated lexicon of triggered keywords in outgoing messages.

"A brilliant tool for investment firms. We're excited to be part of a new era of email archiving and compliance."

Katie Branhoff, CISO, Bridgeform Capital

How it works:

The Presults™ solution to regulatory compliance in 3 simple steps:

1. Detection

We detect and stop potentially-violating emails before reaching the recipient

2. Remediation

Flexible remediation options to allow the email to continue on its way.

3. Logs and Reviews

All emails are saved for quick reviews and archived in accordance with regulatory rules.

Compose email:

To: jason.lodnick@highview.com

Subject: Re: Your financial goals

Hi Jason,

Please find attached your financial outlook for the upcoming year. We are anticipating similar results to the past year's performance, and we guarantee at least a 10% annual ROI.

Talk soon,
Joan

Email blocked: This email may violate the following compliance rule: "imply that past performance will recur or make any exaggerated or unwarranted claim, opinion or forecast.".

Get up and running in 5 minutes

Presults™ installs on top of your existing email solution, so you can get up and running in no time.

Smart AI + Human expertise = A winning combination

Our team of compliance experts are always on top of the latest developments in regulatory compliance, which we use to power our AI-driven platform.

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