Scannable, exam-ready checklists covering compliance, KYC, and operational workstreams. Each checklist maps to the Wealth Data Sets that satisfy the documented requirements.
Every field, document, and audit-trail element you need to demonstrate Reg BI Care Obligation compliance to an SEC examiner. Calibrated against recent enforcement-action fact patterns.
The KYC data fields and identity-verification documents your RIA needs to capture at onboarding to satisfy FINRA Rule 2090, the SEC's CIP requirements, and CFP Board standards — including the ITIN-filer, dual-citizen, and entity-account edge cases that catch most firms off guard.
The data, log, and policy artifacts an AICPA SOC 2 Type II auditor will request across the Common Criteria and the Confidentiality / Privacy / Availability / Processing Integrity categories — calibrated against real findings from first-time fintech audits.
What to verify in a synthetic-data corpus before you ship a wealth-tech feature against it. Covers arithmetic invariants, demographic plausibility, longitudinal coherence, and the scenario-coverage gates that decide whether your test corpus is actually fit for production validation.
The fields, flags, and event signals your AML transaction-monitoring system needs to fire correctly on the canonical FinCEN typologies — structuring, layering, source-of-funds anomalies, and PEP-adjacent activity. Calibrated against published FinCEN Advisories and recent enforcement consent orders.
The data fields and supporting records you need to refresh annually for the Form ADV amendment, the brochure delivery, and the IARD-CRD synchronization. Built around the SEC's published common deficiencies in OCIE / Examinations Division ADV reviews.
Every data inventory, control mapping, and notification artifact required by 16 CFR Part 314 (the FTC Safeguards Rule, as amended through 2023). Calibrated against published consent orders and the FTC's enforcement priorities post-amendment.
The cross-functional readiness gates for shipping a new feature in a wealth-tech product — engineering, compliance, data, customer success, and marketing — calibrated against the most common preventable misses we see in pre-launch reviews.
The structurally tricky cases your test corpus needs in order to actually exercise the code paths that fail in production. A QA-lead audit of edge-case coverage across demographics, accounts, transactions, life events, and tax scenarios.
Every data field, signal, and longitudinal event a robo-advisor must structurally support before launch — risk profiling, allocation, rebalancing, tax-aware drawdown, and the audit trail SEC examiners ask about. Calibrated against the SEC's 2021 robo-advisor sweep findings.
Every disclosure event, acknowledgment timestamp, and content artifact your firm needs structurally captured to demonstrate Reg BI Disclosure Obligation and Form CRS delivery compliance — calibrated against the 2024 SEC sweep findings.