For fund managers and the consultants who serve them

Spend less time administering compliance. Keep control of the work.

Bring approvals, staff declarations, deadlines and evidence into one workspace. Reduce follow-up emails and repeated data entry, review requests with the facts in view, and find the records you need without rebuilding the story from inboxes and spreadsheets.

Request a demo See a typical working day

See it as Head of compliance Portfolio manager CEO on a phone Director Compliance consultant

Less manual follow-up Less repeated data entry Tamper-evident audit trail

One firm, three front doors, live from the product

Compliance Inbox with a menu grouped by job and a count on each group, severity totals, and items with Review and decide buttons, owner selectors and target dates. — **See what needs attention without chasing each module**Decide from the inbox itself, and see on the menu which job each open item belongs to. Owners, target dates and waiting states keep follow-up visible. Actual product screen — demonstration data. Select to enlarge.

A CEO's phone showing approvals, with the reason each one needs a decision. — **See what needs attention without chasing each module**Decide from the inbox itself, and see on the menu which job each open item belongs to. Owners, target dates and waiting states keep follow-up visible. Actual product screen — demonstration data. Select to enlarge.

What becomes easier

Reduce the work around compliance

Reduce the time and staff cost spent chasing replies, re-entering information and collecting evidence. Give your team more capacity for the reviews and decisions that need their judgement.

Reduce follow-up work

One list of what needs you, with an owner and a date, and a separate list of what you are waiting for.

Review with fewer hand-offs

The facts, the checks and the history are on the screen where the decision is made.

Prepare for audits as you work

Documents, decisions and reasons are kept together on the record they support.

See what needs you, and what is waiting on someone else.

Assign an owner, set a target date, add notes. Reminders pause while an item waits on another person.

Review the facts where you make the decision.

Trade requests, gifts, outside interests and deal checks each show their evidence beside the decision.

Pick up an unfinished form without starting again.

Trade requests, gifts, outside interests and annual declarations are saved as people type.

Know your request was received, who has it and what to do next.

Staff get a reference, the status and the next step as soon as they submit a trade request.

Use the contract note to help complete the report.

A PDF contract note fills in the execution details for the person to confirm, and stays on file as evidence. Manual entry is always available.

If a check cannot be completed, Attesta tells you.

When something fails to load or a screening service is down, you see that, not a reassuring "all clear".

Start from your own compliance manual.

Import it, and Attesta proposes settings from its text for Compliance to review. Nothing changes until a person approves it.

A typical working day

One trade request, from an interrupted draft to filed evidence

An example with made-up names and figures, showing what each person sees.

Portfolio manager

Picks up where they left off

A request started before a meeting is still there, saved as they typed. They finish it and submit.

Unfinished request found. Sell 1,000 D05, saved 9:42. Continue or discard.

Portfolio manager

Gets a clear receipt

The receipt gives the reference, says the request is pending, and that they must not trade until it is approved.

Received, pending approval. Compliance has it and replies within 4 hours. Do not trade yet.

Compliance

Decides with the facts in view

The checks, the limits that apply and the requester's recent trades in the same security sit beside the approve and reject buttons.

Holding period: bought 12 days ago; the firm's minimum is 30 days.

Portfolio manager

Reports the trade from the contract note

Attesta reads the broker's PDF contract note to fill in the execution report. The person checks it, and the note is kept as evidence.

Read from the note: 1,000 at S$38.45, settles 3 Oct. Check and confirm.

An approval card for a 5,000-share purchase that says: Routed to you because the order value exceeds the S$500,000 threshold. — **Understand the escalation without another email**Each request says why it reached you: the order value, the threshold it crossed and who it was routed to. Actual product screen — demonstration data. Select to enlarge.

Who uses it

Same firm, different front doors

Attesta does not hand everyone the same dashboard. Sign in and the product reshapes itself around what you are responsible for, on a desk or on a phone. Choose a role.

Heads of compliance and COOs: Your work, grouped by jobThe inbox is a single list across every module, and the menu groups pages by job (approvals and cases, registers and checks, filings, people, records and policies) with a count on each group, so you can see where the open items are before you click.

Press Ctrl or Cmd + K and jump to any page by what you want to do, such as finding broker due diligence.

Decide from the inbox, or open the approval queue, where each request says why it was routed to you.

Switch into Staff Entry View when you need to file something yourself.

Portfolio managers and staff: Four places to goA staff member sees To do, Ask, My records and Me, not the compliance menu. Their screen shows what needs their action, what is waiting on Compliance and what they can do nothing about yet.

Trades, gifts, conflicts, policies, training hours and their own personnel file sit under My records.

A request that is with Compliance says so, and says there is nothing to do.

Evidence that is due, such as a contract note, is shown as the next step on the trade it belongs to.

CEO and company secretary: Approvals on the phone, with the reasonSenior approvers get an Approvals tab on the phone. Each item says why it needs a decision, shows the request and the evidence behind it, and the decision is recorded under a second factor.

The reason it reached you is stated: for example the order value, and the threshold it passed.

On a desktop an executive can move between the approver view and Staff Entry View.

Staff get their own To do on the same phone layout, without the approvals tab.

Entity directors: A portal for the boards they sit onA director has no access to the firm's compliance screens. They get a portal with what needs them, the entities they sit on, a calendar, their inbox and their own practice, fees and personnel file.

Declare interests on every board at once, then see what each board will receive before anything is submitted.

Each entity shows its checklist, officers and auditor, documents and events, with a Record meeting and minutes action on the next board meeting.

Cayman directors keep their DRLA registration in one place, with warnings before a renewal or a licence threshold.

Auditors

Get the compliance screens read-only, with no staff view, because they do not file anything themselves, plus a list of their requests.

Compliance consultants and outsourced compliance officers

Work across the firms allocated to them, with a switch between one firm and all their firms, and a partner portal under their own brand. See compliance consultant software →

Screens captured from the current build with demonstration data in November 2026. Dates and overdue counts in the demonstration data are artefacts of how it was seeded.

Your policies and jurisdiction

Set to your firm, and to your regulator

Start with the workflows relevant to your firm. Our market pages explain the intended firm type, implemented features and current boundaries.

Singapore MAS

Fund-manager workflows

Explore scope →

Hong Kong SFC

Fund-manager workflows

Explore scope →

Canada OSC / AMF

Ontario and Quebec • initial coverage

Explore scope →

DIFC DFSA

Initial coverage

Explore scope →

Australia ASIC

Wholesale managers • initial coverage

Explore scope →

Malaysia SC

Conventional managers • initial coverage

Explore scope →

Cayman Islands CIMA

Regulated funds and directors

Explore scope →

Canada, DIFC, Australia and Malaysia have initial implementation coverage available for scoped demonstrations. Local review and identified requirements remain outstanding. Availability of a preset does not mean every obligation is covered.

Compare an example workflow: Singapore, Hong Kong and Cayman

Control	How Attesta applies it

Regulatory requirements, guidance and configurable firm targets have different roles. Firm-policy targets can be configured; changing a setting does not change an applicable legal obligation. Confirm applicability during setup.

Explore the workflow modules

What it covers

Five areas of daily compliance, each tied to the rule behind it

Where a workflow rests on a specific act, notice, code or guideline, the screen shows it, split into binding requirements and guidance.

Staff conduct

Before anyone trades, accepts a gift or takes an outside role.

Personal dealing. Pre-clearance with automatic checks, holding periods, and contract notes matched as evidence.
Conflicts. Annual declarations with last year's answers pre-filled, and outside interests scored for materiality.
Gifts and entertainment. Thresholds by type, approval above them, one register.

People and competence

Who holds which role, and whether they are ready for it.

Fit and proper. Annual review with declarations, evidence and a decision.
Training. Hours tracked against the regulator's split, with reminders and escalation.
Officer register. Appointments, changes and cessations open dated notification tasks; organisation charts saved with a fingerprint.

Financial crime

Know the client, and prove you checked.

KYC and screening. Sanctions and politically exposed person checks, with a person confirming every possible match.
Never falsely clear. If a screening service is down, the result says so instead of passing.
AML governance. Risk assessment and audit cycles with sign-off.

Reporting and registers

The clocks that regulators set, watched for you.

Misconduct and breaches. Cases start their statutory clock at discovery and open automatically from overdue items.
Regulatory calendar. Every deadline with a reminder ladder and the filing reference recorded.
Statutory registers and returns. Company registers and capital-return exports in Singapore; financial resources and annual return deadlines in Hong Kong.

Technology, data and speaking up

The controls examiners ask about second.

Technology risk. Critical systems, cyber evidence, vendors, continuity tests and incident deadlines.
Policies. Published to chosen roles, quizzed where the risk is high, with attestation tracked.
Whistleblowing and complaints. Anonymous or named reports with a status reference; complaint clocks and resolution.

The examiner's email

It is Monday. The regulator wants an answer by Friday. Pick the question.

Six questions firms are asked in inspections and board meetings, and what Attesta puts in front of you for each. Choose one.

“How do you govern the AI your staff use?”

Every AI use sits in one register with an owner, a stage and a risk rating, from impact assessment through to decommissioning.

Validation, contingency plans, third-party assurance, monitoring plans and reviews are recorded against each use. A lapsed re-validation stops showing as recorded.

Incidents, human-oversight arrangements and changes are logged, and a controls register, internal audits and corrective actions close the loop.

The limit. Attesta records the firm's governance; it does not decide what AI the firm may use.“Show that the financial return was checked before it was filed.”

Hong Kong: the SFC's own template is filled from your accounts, then the checked file is read back. A wrong month, name or CE number is refused before it reaches WINGS.

Early-warning tests on liquid capital open a breach case with a one-business-day notice when they trip.

Singapore: the Form 2 capital return is calculated from a stored Form 1 filing; anything unconfirmed is shown as unconfirmed, never as zero.

The limit. A Responsible Officer still signs and submits in WINGS. Some Form 2 formulas are marked as not yet checked against the Notice.“Which trades were cleared by a machine, and who decided that was safe?”

Automatic clearance and contract-note matching are off by default and set per firm, client or entity. Only a request with no rule hits and inside a value cap qualifies.

Before switching on, shadow mode records what the system would have decided beside what your people decided, with a measured agreement rate.

Once live, a share of automatic decisions is reviewed by a second person. If too many are flagged, automation pauses by itself and needs a named person and a second factor to resume.

The limit. A policy document cannot switch automation on. Anything in doubt goes to a person.“How do you know your brokers and your marketing were reviewed?”

Brokers sit in the provider register with a questionnaire; Compliance signs off the answer, and only that sign-off sets the next review date.

Hong Kong marketing material and committee minutes go through document review. Approval is tied to one version of the file, and a new version goes back to review.

Internal-audit tests check that each active broker has a signed-off review in its cycle and that marketing was issued only when approved.

The limit. Review cycles shown are the firm's own standard unless a rule sets them.“When did you learn the rule changed?”

A daily watch reads official regulator sources for each jurisdiction and records anything new for Compliance, with a digest by email.

A source that cannot be read is reported as a gap, not as “nothing new”.

Singapore, Hong Kong and Cayman obligations are mapped to dated checks, so a new rule has somewhere to land.

The limit. The watch flags; a person decides what changes in the firm's policies.“Who is behind this client, and did you check?”

A client or entity can be linked to its LEI from GLEIF, with the chain of parents above it. The search only suggests; a person chooses.

A chain that cannot be completed is shown as incomplete, never as “no parent”, and the record is re-checked monthly.

Cayman funds are tested daily against CIMA's AML programme Rule, including audit independence and deficiencies put right by their dates.

The limit. Parent chains are reported by the entity and are not verified ownership. A check that cannot run shows as degraded, never clear.

Descriptions reflect the product as built in October 2026. Hong Kong document review is off by default and switched on by the firm; automatic clearance is off by default. Attesta records and checks; the firm decides, files and signs.

Audit and security

Show an examiner how it was decided, not only what was decided

A tamper-evident audit trailEvery entry carries a fingerprint of the one before it. An integrity check shows where an entry inside the chain was changed or removed.

A second factor on designated approvals and privileged changesApprovals, screening dispositions, overrides and other privileged actions ask for it again, and record the method used.

Documents kept with the recordContract notes, certificates, minutes and filing acknowledgements are stored per firm and linked to what they support.

The integrity check detects edits and removals within the chain. As with any system log, the firm should still restrict database access and keep independent backups.

Audit Log with a chain verified banner, filters, and rows showing actor, action, MFA method and subject reference. — **Find who changed a setting, and how it was approved**Searchable records link edits, approvals and live application, with the MFA method recorded and an audit-chain integrity check. Actual product screen — demonstration data. Select to enlarge.

Straight answers

What Attesta does, and what it leaves to you

Attesta does

Turn rules into timed, approved, evidenced workflows.
Remind, escalate, and open a breach case when a deadline is missed.
Keep the audit trail and the supporting documents together.
Show the regulatory basis on the workflows where a source applies.

The firm still does

Make the decisions, and set thresholds that match its own policies.
Submit filings to MAS, the SFC and other bodies. Attesta records the reference the firm obtains.
Interpret a rule where it needs interpreting. Attesta is not legal advice.

Security design has been reviewed against ISO 27001 principles. The product is not certified to that standard.

See it on your own rules

See where your team can save time

Choose your market and tell us which work takes the most time. We will walk through approvals, follow-ups, data capture and evidence retrieval, then show how the workflows fit your firm. No client documents are needed to request a demo.

Your market

demo@attestacompliance.xyz

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