Orion Compliance Plans
Flexible, scalable tech to build and maintain a solid
compliance program.
Orion Compliance
Design the Right Compliance Solution For You
Every firm is different. Orion Compliance offers three distinct solutions you can use to build the always-on compliance solution that’s best for you. Use Orion Compliance products on their own or as part of Orion Stacks.
Feature | Available Standalone | Available to Add on to Orion Essentials or Foundation | Included with Advantage Stack |
|---|---|---|---|
Orion Compliance Employee and Firm Oversight Features | |||
| Personal Trading |  | | |
| Certifications (Certs) | | | |
| Testing | | | |
| Forms | | | |
| Insider | | | |
| Outside Business Activities | | | |
| Risk Assessment | | | |
| Gifts & Entertainment (GEM) | | | |
| Onboard | | | |
| Whistleblower | | | |
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| Pricing for Employee and Firm Oversight | $8,500.00 /year1 Up to 10 users2 Add users for $200/user/year | $8,500 / year1 Up to ten 10 users2 Add users for $200/user/year | Included with unlimited users1 |
Client Oversight Features | |||
| Post-Trade Compliance of Client Activity (Supervision) | | | |
| Drift | Not available without Orion Risk Intelligence | 4 | |
| Pre-Trade Compliance | Not available without Eclipse | (requires Eclipse) | |
| Share Class | Not available without Orion Risk Intelligence | 4 | |
| Ownership and Large Trader | Not available without Orion Risk Intelligence | 4 | |
| ADV, AUA, 13F Overviews | Not available without Portfolio Accounting | | |
| Pricing for Client Oversight | $10,000 / year1 + $5.00 per account3 Up to 10 users2 Add users for $200/user/year | $12,000/ year1 Up to ten 10 users2 $200/user/year | Included with unlimited users1 |
1 Should Company purchase both Employee & Firm Oversight and Supervision or Client Oversight, the Annual Price stated above for such products includes a total of one (1) database. Company may purchase additional databases at the rate of$2500 per additional database.
2Should Company purchase both Employee & Firm Oversight and Supervision or Client Oversight, the Annual Price stated above for such products includes a total of up to ten (10) users. Company may purchase additional users at the rate set forth above.
3 Accounts must be custodied at Schwab, Fidelity, or Pershing to be billed at the annual rate of $5.00 per account; all other custodial accounts from approved custodial sources will be billed at the annual rate of $8.00 per account. Accounts from other custodial sources will be billed at a rate to be agreed upon by the parties.
4 Client Oversight add on includes 1 Orion Risk Intelligence license. Additional licenses can be purchased.
The Solution That Scales
One integrated UX for every stage of growth.
57% of advisors, identify integration gaps between their core applications as their top technology challenge.1 Orion Stacks offers a cutting-edge solution designed to effortlessly integrate all essential tools. Discover unparalleled flexibility: whether you prefer Orion Stacks or standalone options, including Compliance services. Tailor your experience to fit your business needs with ease, catering to businesses of all sizes.
Dig Deeper
Related Content
1Source: https://digitaledition.investmentnews.com/articles/the-trouble-with-tech-integration
Compliance Code: 2 6 9 0 Orion Advisor Solutions October 21 2024