Compliance Platform
A connected compliance workspace for independent advisory firms — designed around day-to-day supervision, documented review, record retention, and private-label firm administration.
One place for the firm’s compliance workflow.
The Compliance Center is designed to give a firm one operating location for advertising and marketing review, annual attestations, outside business activities, personal accounts, gifts, political contributions, complaints, trade errors, supervisory notes, current documents, and archive tools.
Compliance Center
Private-label workspace for compliance forms, pre-use review, supervisory records, firm documents, and connected monitoring applications.
Website Tracker
Capture and preserve changes to designated public websites, review history by date, and maintain retained monitoring records.
Email Archive
Microsoft 365 and Microsoft Purview workflow for retention, compliance searches, exports, and legal-hold administration.
Document Library
Firm-level repository for policies, procedures, agreements, disclosures, training materials, and approved compliance resources.
Social Media Tracker
Phase One beta for supervised-account registration, manual or assisted post capture, version history, edit/deletion records, supervisory review, and retained-record export. Direct platform connectors are still under development.
One six-year retention standard across the archive tools.
Website monitoring records, social-media records, and email archive records are maintained under the platform’s six-year minimum retention policy. Archiving or closing an account does not erase its retained history.
Operational components are being tested together before subscriber release.
The complete KAT Compliance Platform will not be offered to new subscribers until the individual applications and integrated workflows have been tested. Availability will be announced when the platform is ready for release.
Key Advisor Tools provides technology and workflow tools. It does not provide legal advice or serve as a subscriber firm’s Chief Compliance Officer. Each firm remains responsible for its compliance program, policies, supervisory decisions, disclosures, filings, recordkeeping, and regulatory obligations.