Mid-market financial services firms — fintechs, RIAs, broker-dealers, wealth platforms, payments processors, and community banks — face the same audit cadence as the largest institutions, with a fraction of the staff. Verisq compresses the operational substrate.
SOC 1 service organization control mapping for service providers to investment advisors. Type II readiness engagement runs alongside SOC 2.
FFIEC Outsourcing booklet, NYDFS §500.11, and DORA Article 28 all satisfied by the TPRM workflow. Single vendor portfolio, multiple regulator views.
GLBA Privacy Rule notices, CCPA/CPRA for California consumers, and Quebec Law 25 for Canadian operations — all from one Privacy Center.
Examination preparation generates the audit packet examiners request first — program certificates, framework coverage, risk register, training completion.
One data model. One audit trail. Every jurisdiction served from the same evidence base.
