From SEC-registered advisers and brokerage firms, to other regulated financial firms, Leo’s compliance monitoring solution is designed for those who require a formal unified system to replace their spreadsheets and word documents and stay effortlessly organized.
Leo provides a simple workflow that gives you compliance clarity from start to finish. One centralized compliance monitoring plan that powers semi-automated reports and flags anomalies automatically.
With Leo, you will complete a risk assessment that is configured to your firm’s regulatory profile. You will give each segment of monitoring a risk rating and a frequency for monitoring (monthly, quarterly, bi-annually or annually). Each component is then scheduled automatically by Leo for review and relevant follow-up.
Capitalize on proactive regulatory updates tailored to your firm. Leo’s compliance monitoring solution is kept up to date with the latest regulatory changes (SEC, FINRA, CFTC), ensuring you have everything you need to always be compliant.
Request a callback or book a demonstration of Leo. Our friendly team is ready to answer all your questions and find the best solution for you.
Leo produces long form, meticulous prose reports which are branded with your firm’s identity by default.
Your reports exude professionalism and consistency to reinforce credibility and accountability.
All your Leo reports belong to you.
Reports are generated with an executive summary ready for presentation to managing directors and to the board.
Have all the key findings and recommendations available in a concise overview.
All of Leo’s reports stay up-to-date with the latest regulations.
The regulatory content in Leo is kept up-to-date by Leo’s diligent team and compliance partners who add and amend information requirements ahead of time.
Your compliance platform will always be ready with current information.
All your actions automatically build out your audit trail as they are recorded, for you to provide to your management, to regulators, and to any key stakeholders as evidence of your compliance.
Our bespoke compliance AI is specially trained on US regulations, fund operations, and the Leo platform, and always provides citation alongside answers.
If you’re uncertain about what you need to do to be compliant, Eva will have the answer for you.
Replicate and compare answers easily across time. New regulations and questions are automatically highlighted for you.
Automatically build out your audit trail across reports with all changes easily visible.
Benefit from Leo’s configurability to easily upload attachments, write and format free text, or to create new chapters as needed.
For a seamless experience, benefit from Leo’s other modules and registers and directly reference the data that is already on your platform, such as, personal trading requests, or the employee gifts and entertainment register.
If you require your own content adaptations, not only can you tailor Leo’s existing content to your needs, but you can also build entire templates and workflows from scratch using our template editor and module system.
Leverage your custom compliance workflows using a system that will automate processes and package everything neatly for you and your team.
Leo allows you to assign different staff members to different pieces of content. No longer do you need to collate information, just assign each topic to the appropriate individual who needs to answer questions.
Team members receive emails informing them of assignments, the permissions system ensures each individual can only see what you allow them to see, and you can add comments to answers.
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