Compliance and audit
Real-time logs for your entire advisory business
Your teams keep working as they do today, and your compliance team answers any question from one place.
See who did what and when, on any workflow
Recommendations, nudges and approvals each keep their own history in order, with a name and a time on every entry.
Your separate systems keep separate logs that don’t line up
A regulator’s query then takes weeks, because each team has to hunt down its own data before anyone can piece the answer together.
Publisher logs each event the moment it happens
Entries are written by the system as events happen, and access changes from User Access Management are logged too.
Follow each recommendation
Created, modified and closed, with who and when
Keep every approval
The checker’s decision, beside what it approved
Trace every nudge sent
Each Action run and each notification from it
Capture client activity
What each client did, with its date and time
Filter the log to what an auditor asked for, and export it
The log sits on your own cloud beside the client data it describes, and security and trust sets out how both are kept.
Each recommendation’s log shows how clients engaged with it
Publisher measures how many clients each recommendation reached and the orders attributed to it, in real time, by rules you set.
Every module your teams work in writes to the same log
Your research desk and your digital team each work in their own modules, and the log puts their events in one order of time.
What goes to PaRRVA comes straight from the log, by API or CSV
Recommendation data goes to SEBI PaRRVA from what Publisher already holds, your desk’s algos included.
Answer a regulator in minutes, with every recommendation accounted for
SEBI requires research analysts to keep each recommendation and what clients were told about it, and Audit Trail already holds both.
5years
the least time a research analyst keeps each recommendation under SEBI’s rules
SEBI (Research Analysts) Regulations, 2014