End-to-end products to streamline your regulatory landscape

Tailored packages designed for your team's unique regulatory needs.

Avery Platform & Compliance Services

Avery Guardian

Firms and solo professionals who need basic, solid compliance support. Manages regulatory changes and offers real-time dashboard monitoring.
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Automated Services

  • Regulatory Change Management Platform
  • Real-time Dashboard
  • Personalization of Regulations (Regulation to Policy Mapping)
  • Regulation Tracking (State, SEC, FINRA)
  • Automated Compliance Activity Logging
  • Automatic Audit Trail
  • Customized Regulatory Events Dashboard
  • Enforcement Actions
  • Compliance Calendar
  • Task Management Engine
  • Avery AI (Generative AI for Regulatory)
  • Email Alerts
  • Integration - Outlook
  • Reporting (Executive, Compliance)

Human Services

  • Includes 15 hours of expert, human-led compliance support monthly.
  • Additional hours available as needed.
  • Review of supervisory procedures (procedure to policy mapping)
  • Review of filing document, Marketing materials, Annual Policy & Program review
  • Compliance Policy GAP Analysis
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Avery Pro

Firms seeking advanced compliance support with AI intelligence. Adds an extra layer of AI-powered support & regulatory tracking your compliance strategies.
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Automated Services

  • Regulatory Change Management Platform
  • Real-time Dashboard
  • Personalization of Regulations (Regulation to Policy Mapping)
  • Regulation Tracking (State, SEC, FINRA)
  • Automated Compliance Activity Logging
  • Automatic Audit Trail
  • Customized Regulatory Events Dashboard
  • Enforcement Actions
  • Compliance Calendar
  • Task Management Engine
  • Avery AI (Generative AI for Regulatory)
  • Email Alerts
  • Integration - Outlook
  • Reporting (Executive, Compliance)

Human Services

  • Mock State/SEC Audit Simulation (questionnaire/interview based)
  • Email / Website Reviews leveraging Fusion1 Audit platform
  • Marketing/ Advertising leveraging Fusion1 Audit platform
Aslo everything in Avery Guardian
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Avery Commander

Enterprises that require comprehensive, all-in-one compliance solutions. Provides a full suite of features for compliance, along with 24x7 support to meet all your compliance needs.
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Automated Services

  • Regulatory Change Management Platform
  • Real-time Dashboard
  • Personalization of Regulations (Regulation to Policy Mapping)
  • Regulation Tracking (State, SEC, FINRA)
  • Automated Compliance Activity Logging
  • Automatic Audit Trail
  • Customized Regulatory Events Dashboard
  • Enforcement Actions
  • Compliance Calendar
  • Task Management Engine
  • Avery AI (Generative AI for Regulatory)
  • Email Alerts
  • Integration - Outlook
  • Reporting (Executive, Compliance)

Human Services

  • Review of Business Continuity Plan and method of disclosure - Quarterly artifact collection
  • Review of Cybersecurity Program and compliance artifact collection - Quarterly artifact collection
Also everything in Avery Pro
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What We Do
Who We Serve
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Your Regulatory Co-Pilot

1300 El Camino Real Suite 100
Menlo Park, CA 94025
+1 650-294-8889
info@surgeventures.com

1. Financial institutions implementing AI technologies observed a 30% surge in operational efficiency - Accenture, 2019. 2. Automated regulatory intelligence tools boosted compliance program efficiency for 84% of users - Thomson Reuters, 2019. 3. Compliance professionals in financial services saved 45% of their time using automated regulatory management tools - Thomson Reuters, 2019. Financial service professionals spend an average of $169,000 per year on managing compliance - Thomson Reuters, 2019.
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