Sales-practice supervision
Guide recommendations, disclosures, conflicts, communications, exceptions, surveillance, and principal review.
customer profilerecommendationcommunicationprincipal review
Work-to-proof operating intelligence
Make every recommendation, communication, trade, and supervisory decision examination-ready.
Unify registrations, supervision, sales practice, communications, AML, books and records, capital, customer protection, and FINRA work.
One governed operating record
✓ Faster governed work✓ Earlier material-risk detection✓ Complete evidence lineage✓ Continuous regulatory readinessRole-specific execution
Workflows that become examination proof.
People do their actual work in Smarter. Approved outcomes, evidence receipts, and requirement status synchronize into Vigil without duplicating files or exposing restricted content.
Financial responsibility and operations
Reconcile net capital, reserve, possession/control, books, records, breaks, and regulatory reports.
trial balancenet capitalreserveFOCUS filing
Shared intelligence fabric
Every useful action improves the system—inside constitutional boundaries.
Raw work product remains workspace-private; only authorized, purpose-bound, pseudonymous reviewed outcomes may enter minimum-cohort learning.
Raw work product stays privateNo employee performance scoringMinimum cohort and human approvalNo automated regulatory decisions
SmarterBroker-Dealers
Vigil examination bridge
Operational actions become requirement-level evidence.
- ✓FINRA cycle examinationAuthority · task · evidence · result · receipt
- ✓FINRA membershipAuthority · task · evidence · result · receipt
- ✓SEC broker-dealer rulesAuthority · task · evidence · result · receipt
- ✓BSA/AML examinationAuthority · task · evidence · result · receipt
Smarter × Vigil