Wealth advisory operations that run the same way in every branch, with evidence the regulator can pull

Yes. Each branch runs its own flows with a named owner per step, and leadership gets a consolidated compliance view by branch and by advisor. Templates are standardized at HQ and distributed without rework, with centralized compliance supervision.

The questionnaire is part of the onboarding flow and the periodic portfolio review. Each answer is logged with date, version, and signature, and the retest cadence (e.g., 24 months) fires automatically. Before any rebalancing, written client consent is required as an approval gate.

You create a flow triggered by a suspicious activity event. The advisor logs evidence, the Compliance Officer issues an opinion, and the next step is the SAR submission with the protocol archived. The full trail, including executive notification, is retained for 5 years.

No. Those remain the source of portfolio, allocation, and transactions. Cadenio makes sure onboarding, suitability, supervision, AML, and succession run with a named owner, deadline, and evidence. Both sides coexist.

Yes. The pre-IPO controls audit inventories internal controls against SEC, SOX, and COSO frameworks, samples evidence, generates a per-finding remediation plan with owners, and requires Audit Committee approval. The full file is ready for external auditors or bankers.

Each advisor has a credentialing flow with license expiry, mandatory training (suitability, AML, privacy, ethics), and a 90-day supervised activity period. Leadership sees the compliance status for the entire team in a single dashboard.