Surety SELARYS SURETY
Frameworks

Financial Workflow

Financial compliance across the FINRA, SEC, SOX, BSA/AML, KYC/CIP, and FFIEC framework paths — grounded in live SEC EDGAR, U.S. Treasury, and Federal Register data, with audit-cycle tracking and evidence compilation.

Current Audit Cycle —
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Audit Cycle Dashboard Rolling quarter ladder + annual roll-up
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Regulatory Framework Catalog
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Sample Queries Click a question to ask Syndex in the assistant
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Retention Windows Per-framework recordkeeping requirements
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Evidence Pack Live

Your audit evidence packages — the chain-of-custody record backing the active cycle, organized by framework with retention metadata and capture attribution. Author, capture, and compile them in the Evidence tab; capture a figure or filing straight from the Data tab.

Typical artifacts in a pack:

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Data

Manage sources in Syndex ↗

Live sovereign finance data — SEC EDGAR filings & figures, U.S. Treasury macro, and Federal Register rules. Hand any of it to Syndex for a grounded, cited answer.

This is Surety's live finance-data surface. Browse a source, pull figures or filings, and hand any of it to Syndex (Ask ▸) for a grounded, cited answer — it's where you work the data.

  • SEC EDGAR — a company's recent filings + reported financials (search by ticker or name; Figures pulls a specific 10-K/10-Q's P&L).
  • U.S. Treasury — the national debt + average interest rates.
  • Federal Register — recent SEC rules, proposed rules & notices.

Managing these feeds — enabling them, health, credentials — lives in the Syndex admin console under Sources. Manage in Syndex ↗

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Evidence

Audit evidence packages — the chain-of-custody record backing your compliance cycle. Packages are private to your tenant.

Evidence packages are the auditable, reproducible record for a filing or cycle: each requirement (with its regulatory citation) and the evidence captured against it — recording what, from where, when, and by whom (chain of custody).

  • Capture pulls a figure or filing from the Data tab into a package, recording its source + your identity automatically.
  • Compile produces the reproducible package for review / regulator handoff.

Creating, capturing, and compiling are approval-gated writes — proposed for approval, never done silently. Packages stay inside your tenant and never egress.

◇ SYNDEX Assurance assistant
Open in Syndex ↗
Ask about audit evidence, compliance frameworks, and financial regulation (FINRA/SEC/SOX/BSA-AML/KYC/FFIEC) — including retention windows and a company’s live SEC EDGAR / Treasury figures — grounded and cited. For a fully loaded conversation, open it in Syndex.