For broker-dealers
Supervision that produces evidence, not screenshots
Principal review, exception handling, and an audit trail that was written as the work happened rather than reconstructed afterwards.
Override recorded
ActorPrincipal
Reasonon file
Fingerprintbound
Supervision
The decision, the reason, and who made it
An exception that is approved without a recorded reason is a finding waiting to happen. Sluice records every override with its actor, their role, the reason, and a fingerprint of the exact facts that were overridden — and stops applying it when those facts change.
- Principal review is a role in the system, not a convention
- Audit events are append-only: the database revokes update and delete on the ledger
- Supervising principal resolves from the firm's own branch and team structure
Override recorded
ActorPrincipal
Reasonon file
Fingerprintbound
When an exam comes
The trail was written as the work happened
Evidence reconstructed after the fact is the weakest kind. Every gate run, every reveal, every override and every submitted package is recorded as it occurs, in ledgers the application role cannot update or delete — a permission that is re-asserted and verified automatically.
- Append-only by database permission, not by convention
- Snapshots are content-hashed and chained, so an altered capture is detectable
- What the client signed is sealed at send and compared to what came back
Evidence ledger
Gate runsrecorded
Overridesactor + reason
Signed baselinehash-chained
Reads from and writes back to
- NFS · Fidelity
- Altruist
- Envestnet
- Wealthbox
- Dynamics 365
- DocuSign
- Salesforce
- Redtail
See it against your own book
Bring a household that has given you trouble. Thirty minutes, no deck.
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