Security & Compliance

Built for the Highest Standards in Financial Services

Security and compliance aren’t features bolted onto CoraWealth — they’re the foundation everything else is built on.
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Your Data Stays Yours

CoraWealth runs AI inference on private infrastructure inside your own Azure environment — nothing traverses the public internet, and nothing touches a shared cloud endpoint. Every client record is protected by row-level security, so access stays exactly as controlled as you need it to be.

Private LLM on your Azure GPU infrastructure
VPC PrivateLink — no data traverses the public internet
Zero data egress to shared cloud endpoints
Row-Level Security (RLS) per client record
All AI inference runs inside your perimeter

Compliance, Enforced Automatically — Not Just Documented

Every recommendation CoraWealth makes is checked against FINRA and SEC standards in real time, with a fully documented rationale and an immutable audit trail behind it. When exam time comes, you’re not scrambling — the record is already there.
FINRA Rule 4512 — customer account verification
SEC Regulation BI — best interest documentation
Immutable audit trail for every workflow action
Configurable firm-level policy rules engine
Regulatory exam readiness — on-demand export

Security Your Review Team Will Recognize

SOC 2 Type II certified platform
AES-256 encryption at rest and in transit
SAML 2.0 SSO and enterprise RBAC
Multi-factor authentication enforced
Penetration testing and quarterly security review

Compliance Built Into Every Step — Not Bolted On at the End

Rather than treating compliance as a final review gate, CoraWealth checks every proposal against regulatory standards as it’s built:

Automatic verification

Customer account details are checked against FINRA Rule 4512 requirements automatically, and every recommendation carries a documented Reg BI best-interest rationale — with your firm’s own policies layered on top of the regulatory baseline.

A compliance officer's workflow, streamlined

Proposals route straight to your compliance queue with the analysis already prepared, ready for one-click approval or inline redlining — with every change tracked and version-controlled automatically.

No more paper trails

Digital sign-off comes with a full audit ID attached — no email chains, no ambiguity about who approved what and when. Edge cases escalate to senior compliance with the full context already in place.
  • The result: every proposal clears the same compliance bar before it reaches a client — automatically, with no manual review queue slowing things down.

Engineered Into Every Layer

For Enterprise Deployments

Need a dedicated VPC, a custom DPA, or a BAA? Enterprise agreements are available on request — along with on-premises deployment and custom AI model training for institutional platforms. See Broker-Dealers & TAMPs.

See How It Works

Book a live demo and we’ll walk you through the full advisor journey — from first client conversation to signed, compliant proposal — in 30 minutes.

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