Is Compliance controls included in every secondri deployment?

Module access depends on your package. Broker Stack teams typically enable trading, deals, and compliance together; Emerging Manager packages emphasize fund admin and the investor portal. Contact sales to map modules to your organization.

How long does implementation take?

Most teams begin with core workflows in days, then expand modules and integrations over subsequent sprints. We provide implementation playbooks and training for desk, ops, and IT stakeholders.

Can we integrate with our existing OMS or CRM?

Yes. secondri exposes REST APIs, webhooks, and CSV exports so you can sync orders, counterparties, and reporting outputs without a rip-and-replace project.

Is secondri multi-tenant cloud SaaS?

secondri is purpose-built as multi-tenant cloud software with tenant isolation, role-based access, and optional SSO for enterprise programs.

Compliance

Secondary compliance workflow embedded in every deal

Hard gates for LP secondaries, cap-table trades, and subtype-specific checks, legal sign-off happens in-product before execute, with exportable evidence packs.

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Overview

Retroactive compliance is expensive

GP consent, ROFR, 409A reviews, and accreditation checks cannot be afterthoughts. When controls live outside the deal system, desks execute first and compliance chases paperwork.

Auditors ask for immutable history, not reconstructed email threads.

Overview

Controls that match how secondaries actually close

secondri embeds compliance templates, execution gates, and role-based permissions into Trading Desk and Deals. Compliance officers export CSV evidence packs per deal without manual assembly.

Subtype-specific gates: LP secondaries, cap-table secondaries, GP stakes
Configurable templates by deal sub-type
Immutable activity and audit logs
Granular PE permission bundles with implied permissions

Capabilities

Execution gates

Block execute until required checks pass.

Compliance templates

Read-only libraries for repeatable control.

Audit export

Downloadable compliance evidence per deal.

RBAC

Admin, Deal Manager, Middle Office, Compliance, IC Viewer, Investor roles.

Document gating

NDA, contracts, and compliance docs required per step.

Accreditation alerts

Dashboard signals for expiring or restricted investors.

Compliance workflow

01
Template
Apply default checklist by deal subtype.
02
Review
Compliance role signs off on KYC, consent, and legal items.
03
Gate
Execution blocked until all required items complete.
04
Export
Generate audit pack for internal or external review.

For compliance officers and risk partners

Give compliance a seat at the table without slowing the desk, every control is visible before execution.

Security overview

Cloud

Delivery

Multi-tenant

Architecture

API-ready

Integrations

SOC2-ready

Posture

Frequently asked questions

Is Compliance controls included in every secondri deployment?: Module access depends on your package. Broker Stack teams typically enable trading, deals, and compliance together; Emerging Manager packages emphasize fund admin and the investor portal. Contact sales to map modules to your organization.
How long does implementation take?: Most teams begin with core workflows in days, then expand modules and integrations over subsequent sprints. We provide implementation playbooks and training for desk, ops, and IT stakeholders.
Can we integrate with our existing OMS or CRM?: Yes. secondri exposes REST APIs, webhooks, and CSV exports so you can sync orders, counterparties, and reporting outputs without a rip-and-replace project.
Is secondri multi-tenant cloud SaaS?: secondri is purpose-built as multi-tenant cloud software with tenant isolation, role-based access, and optional SSO for enterprise programs.

See secondri in action

Walk through a sample environment with your workflows, compliance checks, and reporting needs. Our team will tailor the demo to your desk or fund operations model.