COMPLIANCE SIMPLIFIED

UPTIQ's turnkey compliance capabilities give you the tools and templates you need to ace your next regulatory exam or compliance audit without breaking a sweat
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Data Security

INDUSTRY-LEADING DATA SECURITY PRACTICES AND CONTROLS

UPTIQ's SOC 2 Type 2 certification is evidence of our commitment to data security and safeguarding sensitive client information. Our organizational controls are audited on an annual basis, our platform undergoes quarterly penetration tests and our platform controls ensure our customers meet or exceed SEC, FINRA and FFIEC regulatory requirements.
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Advisor Lending
Integrated Compliance

STAY COMPLIANT BY DELIVERING THE RIGHT DISCLOSURES TO YOUR CLIENTS

UPTIQ's Integrated Compliance Toolkit delivers disclosures at critical points in the credit journey and captures client acknowledgement to ensure adherence to regulatory requirements.
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Advisor Lending
Starter Templates

USE OUR EXPERT-CREATED DISCLOSURE TEMPLATES TO GET STARTED

Deliver credit solutions to your clients with confidence. Developed in partnership with industry and regulatory experts, UPTIQ's Integrated Compliance Toolkit provides ADV disclosure templates, standard lending disclosures and data privacy disclosures and accelerates rollout by giving your compliance team a running start.
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Advisor Lending

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