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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
Governance & Audit (Campaigns)
Filer
Library
Calendar
Reports
APIs
Single Sign-On (SSO)
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 Add users for $200/user/year	Included with unlimited users¹

¹Should 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.

³Accounts 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.

⁴Client Oversight add on includes 1 Orion Risk Intelligence license. Additional licenses can be purchased.

What You Need to Know

Frequently Asked Questions

Orion Compliance expands compliance oversight and management capabilities, allowing compliance professionals full control over all aspects of their programs. Orion Compliance incorporates support for employee oversight, firm oversight, and client oversight.

The software’s rule-based engine allows compliance professionals to automate time-consuming compliance tasks, and the centralized library makes it easy to find and produce an audit trail.

Orion Compliance is a flexible and scalable solution, with three distinct offerings (Employee Oversight, Firm Oversight, and Client Oversight) you can combine to build the RegTech solution that’s right for your firm.

Orion does not offer compliance consulting services, but we have a network of trusted compliance consultants and law firms that have partnered with Orion Compliance.

Orion integrates all technology into a single platform, creating one source of truth.

Orion Compliance was built by compliance professionals who know firsthand the struggles CCOs face. The platform automates many key compliance tasks, makes reporting and filing simple, and offers secure access from anywhere with its mobile app.

Dozens of integrations with other Orion tech solutions reduce rote work and room for human error. Brokerage feeds are also automatically pulled in, eliminating manual monitoring.

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.

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