Cross-vertical · Regulatory Infrastructure

OmniStrat Compliance.

One compliance substrate. Every regulated surface. A foundation layer that covers AML/KYC, records retention, supervision, and communications review — and vertical extensions that add broker-dealer, AI governance, and attestation-specific workflows on top. Every artifact chain-anchored to the same audit ledger. Regulators can verify integrity without ever touching your database.

Two-tier scope

Foundation + verticals
Tier 1 · Foundation

Works for anyone regulated.

The compliance obligations that apply to every regulated business — fintechs, AI companies, healthcare, legal, payments. Cross-vertical by design. Included with the base add-on price.

  • OFAC sanctions screening
  • CIP / KYC + Enhanced Due Diligence
  • SAR management (FinCEN)
  • Communications surveillance
  • 17a-4 style WORM archive
  • Written policies & procedures
  • Compliance testing program
  • Complaint log + regulatory reporting
  • Annual compliance meeting
  • Continuing education tracking
Tier 2 · Vertical extensions

Specialized per product.

Vertical-specific workflows that plug into the foundation. Priced per vertical entity (e.g., per broker-dealer entity for the BD pack). Turn on the ones your firm is registered for.

  • Broker-Dealer: CAT, Rule 606/605, FOCUS, Form CRS, Reg SHO, trade surveillance, employee trading, position/cash recon
  • AI Governance (Foundry): model registry, prompt/output audit, EU AI Act reporting, ISO 42001 attestations
  • Attestation (Agora): party KYC, signature retention, subpoena export for signed docs, Match Certificate compliance overlay
  • Coming: RIA / IA, MSB (crypto), payments, healthcare (HIPAA / HITRUST), legal (attorney-client privilege archive)

Where compliance lives inside each product

Same substrate, product-native UI
Terminal · Broker-Dealer

BD compliance workstation

Full BD suite: CAT daily submissions, Rule 606/605, FOCUS, Form CRS, Reg SHO, trade & comms surveillance, WSPs, testing, complaint log, 17a-4 archive, position + cash recon.

/#compliance · 26 workstreams
Open BD workstation →
Foundry · AI Governance

Model + prompt compliance

AI-specific compliance overlay: model registry, prompt/output audit chain, disclaimers per jurisdiction, EU AI Act Article 12/13 reporting, ISO 42001 self-attestations, hallucination-rate tracking.

/foundry.html · roadmap
See Foundry →
Agora · Attestation Compliance

Signed-doc compliance overlay

KYC of parties before signing, retention policy on attestation payloads, chain-of-custody for subpoena export, per-purpose (NDA/MSA/KYC/board-res) compliance profiles.

/agora.html · live
See Agora →

Pricing

Foundation + per-vertical
Foundation
$1,500/ mo

Cross-vertical compliance program. AML/KYC, WORM archive, supervision, testing, communications review. Applies to any regulated entity you operate.

Foundation + Vertical
from $2,500/ mo · per vertical entity

Foundation + one vertical pack (BD, AI Governance, or Attestation). Additional verticals: +$1,000/mo each. Multi-entity firms priced per registered entity.

Why this beats Global Relay, RegEd, and Advantage Compliance.

Legacy compliance platforms store your records — you have to trust them. OmniStrat Compliance chain-anchors every artifact to the same public ledger that powers Attestation and Match Certificates. A regulator issuing a subpoena can independently verify record integrity without account access. Records can be exported as a self-authenticating bundle. Tamper-evidence isn’t a checkbox — it’s the substrate.

The cryptographic layer costs us the same across every vertical. That’s why we can offer the foundation at $1,500/mo instead of the $8-15k/mo legacy platforms charge for equivalent scope.