Qapp isn't a point solution — it's the entire compliance program of an SEC-registered adviser, in one system. Thirty-plus modules covering employees, clients, disclosures, policies, marketing, risk and data protection — with AI doing the drafting and your CCO holding the pen.
Your team submits marketing materials straight into Qapp. The AI reviews each piece against the SEC Marketing Rule — performance presentation, testimonials, hypotheticals, required disclosures — and returns findings with the exact provision cited, ready for the reviewing principal to approve, reject or annotate.
Slide 7 presents gross-of-fees returns with no accompanying net performance of equal prominence.
§ 206(4)-1(d)(1) — net performance requiredClient quote on slide 12 lacks compensation and conflict disclosures required for testimonials.
§ 206(4)-1(b)(1) — testimonial conditionsModel portfolio scenario on slide 15 matches your adopted hypothetical-performance policies.
§ 206(4)-1(d)(6) — criteria satisfiedThe annual review shouldn't be a December scramble. Qapp's Compliance Testing module runs review cycles across every program area — testing steps, findings, evidence attached as you go — then assembles the year into the annual review memo examiners ask for first.
Grouped the way a CCO thinks about the program. Modules tagged AI have Claude-powered analysis at their core; UK marks FCA-regime modules.
Pre-clearance requests, brokerage account tracking, holdings and transactions, automated statement-vs-approval reconciliation, and violation management — with broker feeds connected via Plaid.
AIUpload a brokerage statement and Qapp extracts every transaction, matches each against pre-clearances and the restricted list, and auto-contacts employees on unexplained trades.
AINew-hire initial holdings reports under Rule 204A-1 — requested at onboarding, tracked through the 10-day window, reviewed and approved in one queue.
Firm restricted securities with rationale tracking — enforced automatically across pre-clearance and trade surveillance.
Rule 206(4)-5 pay-to-play program — contribution reporting, automated FEC record matching, and escalation of matches that threaten the two-year time-out.
AIEvery person subject to the code, onboarded through a guided flow — attestations, account disclosures, policy acks and holdings requests fire automatically on day one.
Per-state IAR registrations, a renewal calendar, and NASAA continuing-education tracking — with Qapp-generated CE courses delivered in-platform.
Expert call management — engagement approvals, call scripts, and post-call attestations to keep MNPI risk contained.
A single register for code violations across modules — severity, remediation, and history per employee.
The client book of record with households — plus Form CRS, ADV, privacy notice and advisory agreement delivery with acknowledgment tracking.
Identity verification with AI document review, risk tiering, periodic reviews, and government-ID expiry alerts — clients upload through a secure portal, Qapp does the checking.
AISanctions, PEP and watchlist screening at onboarding and on a risk-tiered re-screen cadence — built to scale to thousands of names a day.
Group related client accounts into households for document delivery, disclosures and a consolidated view of the relationship.
Complaint register with a client-facing intake form, lifecycle tracking, root-cause analysis and lessons-learned records.
Quarterly and annual attestation cycles with pre-filled holdings and transaction data, point-in-time snapshots, and automatic chasing of non-responders.
Ad-hoc employee questionnaires with unique response links, file uploads, deadline tracking and reminder automation.
Vendor and counterparty attestations — send, collect and track certifications from outside the firm.
Generate tailored policies and procedures from your firm's actual profile — strategies, custody arrangements, personnel — not a recycled off-the-shelf manual.
AIPublish policies with version control, target them to the right employees, and track every acknowledgment — with magic-link signing for frictionless completion.
Custom training modules built around your firm's risks — delivered with AI-avatar video presentation, completion tracking and assessments.
AINASAA-track continuing-education courses generated and delivered in-platform, with seat-time tracking and graded assessments.
AIThe spotlight above — AI review of every marketing submission under Rule 206(4)-1, with cited findings and a principal approval workflow.
AIFirm email and IM archive — search, tag and flag electronic communications for supervisory review under the Books and Records Rule.
The spotlight above — annual Rule 206(4)-7 review cycles with areas, testing steps, findings, evidence and the assembled annual memo.
AIEnterprise risk inventory with inherent and residual scoring, mapped controls, and a heat map for the annual risk assessment.
Log, mitigate and disclose conflicts of interest — the living register behind your Form ADV disclosures.
AI clause extraction from LP side letters — MFN tracking and an obligation log so nothing negotiated gets forgotten.
AIFund-expense allocation — amortize invoices, apply dated allocation standards across funds, and approve an auditable allocation record.
Vendor oversight, incident register, data inventory and the safeguards checklist under Regulation S-P — with reassessment reminders on autopilot.
AI F&P analyst for SM&CR new joiners and annual re-certification — GREEN/AMBER/RED rating, per-question analysis with FCA sourcebook citations, CCO override.
UKFCA SUP 16 Annex 5R — outbound reference assembly and inbound reference collection during hiring, with automatic chasing of unresponsive firms.
UKEvery outstanding employee obligation across every module, in one queue — with one-click chasing where a reminder actually helps.
Filings, renewals, review cycles and deadlines across the whole program on a single calendar.
Program-wide analytics — completion rates, aging obligations, and where the firm's compliance attention should go next.
A clean self-service portal for everyone subject to the code — attestations, pre-clearances, disclosures, training and policies with magic-link access.
Daily compliance digest, attention digest and per-module reminders that chase non-responders on cadence — so you don't have to.
Grant a delegate exactly one content area — Reg S-P, KYC, marketing — with UI and notifications scoped to match. Nothing leaks beyond the grant.
Full history of cycles, responses, reviews and decisions — the books-and-records file builds itself as you work.
Multi-firm architecture with per-firm subdomains, branding and email identity — built for firms and the consultants who serve them.
A 30-minute walkthrough of the areas your firm actually struggles with — bring your own documents and watch Qapp work on them live.
or write to info@avivcompliance.com