Greenboard capabilities: Everything Greenboard does, module by module
Greenboard is one platform for SEC and FINRA compliance with 10 modules (archiving and supervision, employee compliance, trade compliance, marketing compliance, firm compliance, filings, third-party diligence, command center, prediction markets and workflows and agents), and GreenboardGo, the first AI harness built for compliance, working across all of them. Every capability below is live and described on its product page.
GreenboardGo2.0
What makes an AI harness for compliance
A model is raw capability. A harness puts it to work: it connects AI to the right policy, record, tool and person at the right time, with the firm’s context, guardrails the firm sets, and an evidence trail an examiner can follow. These are the six parts, and where each one is in Greenboard.
| Harness requirement | What it means | In Greenboard |
|---|---|---|
| Runs across the whole program | One AI layer that works in every module, not an assistant bolted onto one. | GreenboardGo runs across the whole Greenboard platform: ask, configure and automate any part of the program from one place. |
| Works from the firm’s own context | Answers and actions grounded in the firm’s policies and records, with sources. | Answers from your firm’s policies with sources cited on every reply. |
| Teams build their own agents | Not a fixed feature list: any trigger, any context, any sequence of actions. | Go Agents run any compliance process, from a simple sign-off to a multi-collaborator audit, with a finished document at the end. |
| Guardrails and human sign-off | The firm sets the rules and decides the exact point where a person signs off. | Your team reviews every output, and a person signs off before anything is final. |
| An evidence trail examiners can follow | Every AI step recorded, unalterable, alongside the rest of the books and records. | Every step is written to a WORM-based, 17a-4 compliant record. |
| Works where the team works | Usable from the tools people already have open, without a development project. | Works in Greenboard, Slack, Teams, Claude and ChatGPT, and plugs into the AI you use with zero development. |
More on each: GreenboardGo, Workflows and agents and Platform.
Modules
Capabilities by module
Each table lists what the module includes today. The product page has the detail.
Archiving and supervision
Communications archiving and supervision in one compliant archive. GreenboardGo flags what needs review, so your team doesn't have to sift through everything.
| Capability | Greenboard |
|---|---|
| Microsoft 365 and Google Workspace email | Included |
| Microsoft Teams, Slack, and Zoom chat | Included |
| Bloomberg chat | Included |
| WhatsApp and Telegram | Included |
| Text messages through mobile capture providers | Included |
| LinkedIn, Instagram, Facebook, and YouTube | Included |
| Journaling from any provider that supports it | Included |
| Website archiving | Included |
| Migration from your previous archive | Included |
Employee compliance
Employee compliance software that makes attestations, disclosures, and personal trading easier to manage, with flexible workflows built around your firm's policies.
| Capability | Greenboard |
|---|---|
| Code of Ethics attestations | Included |
| Onboarding tasks for new hires | Included |
| Policy acknowledgments | Included |
| Personal trade pre-clearance | Included |
| Gifts and entertainment | Included |
| Outside business activities | Included |
| Political contributions and pay-to-play | Included |
| Private investments and IPOs | Included |
| Continuing education tracking | Included |
| Employee social and messaging accounts | Included |
| Personal trading surveillance, with Trade Compliance | Included |
Trade compliance
Trade compliance software that automatically monitors employee and client trades every day against the rules your firm sets.
| Capability | Greenboard |
|---|---|
| Front running | Included |
| Best execution | Included |
| Watch list trades | Included |
| Favoritism | Included |
| Portfolio turnover | Included |
| Excessive trading | Included |
| Holding periods | Included |
| Private investments and IPOs | Included |
Marketing compliance
Marketing compliance software that keeps pace with your team, with GreenboardGo checking every piece against the Marketing Rule and your own rules.
| Capability | Greenboard |
|---|---|
| Ready-made rule sets for each content type | Included |
| Testimonials and endorsements | Included |
| Third-party ratings | Included |
| Gross and net performance | Included |
| Promissory and exaggerated language | Included |
| Pitch books, decks, and fact sheets | Included |
| Websites and social posts | Included |
| Videos and podcasts | Included |
Firm compliance
Firm compliance software to manage your firm's compliance obligations, policies, and workflows in one place, with less manual work and a clear record of what's been done.
| Capability | Greenboard |
|---|---|
| Compliance calendar | Included |
| Annual review and testing | Included |
| Policy library with versions | Included |
| Attestation campaigns | Included |
| Forms and requests builder | Included |
| Custom compliance logs | Included |
| Information barriers between teams | Included |
| Signed, exam-ready records | Included |
Filings
Compliance filings for Form U4 registration data, ADV Part 2B supplements, and 13F reports, prepared with less manual work from information your firm already has.
| Capability | Greenboard |
|---|---|
| Form U4 uploads | Included |
| FINRA CRD integration | Included |
| CRD numbers and registrations | Included |
| Licensing and continuing education | Included |
| ADV Part 2B supplements | Included |
| 13F holdings data | Included |
| Signed, exam-ready records | Included |
Third-party diligence
Vendor due diligence software where GreenboardGo does the research, with risk ratings you can explain and an audit trail examiners can follow.
| Capability | Greenboard |
|---|---|
| Regulation S-P vendor oversight | Included |
| Service provider and sub-adviser diligence | Included |
| Ready-made vendor library | Included |
| SOC 2 report review | Included |
| Vendor questionnaires | Included |
| Review schedules and reminders | Included |
| Risk levels and narratives | Included |
| Review history | Included |
Command center
One console for compliance consultants, resellers, and multi-entity firms to run every client or entity from one login.
| Capability | Greenboard |
|---|---|
| Client list and search | Included |
| Cross-client action items | Included |
| Cross-client activity log | Included |
| Shared document library | Included |
| Conversations tagged by client | Included |
| Per-client access for your team | Included |
| Branding defaults and overrides | Included |
| Go settings and approved answers synced | Included |
| Staging organization for partners | Included |
Prediction markets
Pre-clearance, disclosure, and monitoring for Kalshi and Polymarket inside the program you already run.
| Capability | Greenboard |
|---|---|
| Kalshi and Polymarket connections | Included |
| Plain-English trading rules | Included |
| Daily prediction-market surveillance | Included |
| Pre-clearance requests | Included |
| Attestation reporting | Included |
| Activity reports | Included |
Workflows and agents
Run any compliance process autonomously in Greenboard, from a simple sign-off to a multi-collaborator audit, with your data already in place and a finished document at the end.
| Capability | Greenboard |
|---|---|
| Recurring and one-off workflows | Included |
| Ready-made workflows | Included |
| Step logic and gated steps | Included |
| Handoffs, approvals and branching paths | Included |
| Go Agent steps in any workflow | Included |
| Sources on every output | Included |
| Human review before anything is recorded | Included |
| A final document for every run | Included |
FAQs
Frequently asked questions
What is an AI harness for compliance?
A harness is what turns an AI model into a working part of a compliance program. It connects the model to the firm’s policies, records, tools and people, applies guardrails the firm sets, lets the team build its own agents, and writes every step to a record an examiner can follow. GreenboardGo2.0 is the first AI harness built for SEC and FINRA compliance.
What are unified books and records for compliance?
One record of every compliance action across the program. In Greenboard, messages, attestations, approvals and reviews from every module land in one WORM-based, 17a-4 compliant record the moment they happen, instead of in five vendors' logs.
Is Greenboard's record SEC 17a-4 compliant?
Yes. Greenboard keeps records in WORM, 17a-4 compliant storage, with signed PDFs for every attestation and CSV and Excel export throughout.
How does Greenboard handle an exam request?
As a search. Search across every module, and GreenboardGo assembles the package with approvals attached to every item, ready to export for examiners.
Can Greenboard support several entities and teams?
Yes. Greenboard supports multiple entities, with permissions by role, group and module, information barriers between teams, and single sign-on with Entra, Okta or SAML.
Which channels does Greenboard archive?
Email from Microsoft 365 and Google Workspace; Teams, Slack, Zoom and Bloomberg chat; WhatsApp and Telegram; text messages through mobile capture providers; LinkedIn, Instagram, Facebook and YouTube; journaling from any provider that supports it; and your website.
Is Greenboard's archive 17a-4 compliant for broker-dealers?
Yes. Email, chat, text and social are kept in one WORM, 17a-4 archive, and Greenboard provides the third-party undertaking FINRA filers need.
Can we move our history from Smarsh, Global Relay or another archive?
Yes. Greenboard migrates your full history from your previous provider, with up to seven years of email backfill, so nothing gets left behind.
How does Greenboard supervision reduce false positives?
GreenboardGo screens messages against your firm's lexicon and channel rules and explains each flag in plain language, so reviewers see real risk instead of endless keyword hits. Across a sample of customers' supervision reports, communications false positives fell 99.14%.
Built for AI-native compliance teams.
See how your program runs on one system. Implementation is measured in weeks, not quarters.