Presults - Regulatory Compliance

Presults™ offers a complete RIA messaging compliance solution

Our AI-powered archiving solution covers your SEC 17a-4 requirements for archiving emails, while reducing false positives and unnecessary flagging.

We save CCOs valuable time and money on the review process with an innovative approach to flagged emails.

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

Our unique solution eliminates most of your work by automating the review process.

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.

Additional compliance and security modules:

We cover more than your basic compliance needs

Encryption

Cut down on risky communication with automatic and manual encryption of sensitive content.

Tone analyzer

Monitor the narrative and communication style throughout your office with our integrated tone modules.

PII data protection

Protect your clients' personal information and financial documents with encryption and AI-powered data scrambling.

Web and Social Media Archiving

In addition to our core products, we also offer web and social media archiving, with flexible daily/weekly/monthly backups and full HTML capture.

Automated Compliance

Presults™ delivers a new approach to compliance that relies on responsible communication before the email reaches the recipient.

"We get so much more from Presults than from our previous provider, and for a much lower cost. I highly recommend them."

Katie Branhoff, CISO, Bridgeform Capital