Nucleus One for FINRA programs
Help organize records and supervisory workflows.
Nucleus One can support document collection, controlled access, supervisory reviews, and process evidence. The firm determines which records belong in the platform and validates that its configuration, procedures, preservation, and retrieval approach meet the requirements that apply.
A capable platform, configured around a defined control.
Nucleus One supplies practical security, workflow, document, and accountability capabilities. Your organization decides how those capabilities apply to its obligations and verifies that the complete process works.
Practical support patterns
Four ways to put Nucleus One to work.
Organize work by record type
Projects, folders, document organization, and search can group materials by business process or record category.
The applicable record categories, required content, source of truth, filing standards, retention period, and disposition rules.
Support supervisory review
Assignments, workflows, comments, and approvals can route records or exceptions to designated reviewers.
Written supervisory procedures, the responsible reviewer, review cadence, approval criteria, escalation, and evidence requirements.
Control access and accountability
Role-based access, multi-factor authentication, and activity history can support controlled access and accountability.
Least-privilege roles, access reviews, monitoring expectations, exception handling, and oversight of Nucleus One as a service provider.
Preserve working evidence and versions
Document versions and activity history can preserve useful working evidence as records move through a process.
Required preservation format, immutability or audit-trail controls, retrieval testing, backup and export procedures, and whether another recordkeeping system is required.
Example implementation
Capability becomes a repeatable process.
This is an illustrative pattern. The exact steps, evidence, retention, and oversight should follow your organization's requirements.
- 01
Map the applicable record category
- 02
Create a restricted workspace
- 03
Route the supervisory review
- 04
Preserve activity and version evidence
- 05
Validate preservation and retrieval
Nucleus One can be the collaboration and workflow layer. The firm retains regulatory responsibility.
The firm identifies the books and records it must preserve, maintains written supervisory procedures, oversees service providers, and validates retention, integrity, retrieval, and export. Depending on the record and applicable rule, the firm may need additional preservation controls or a separate recordkeeping system.
Official references
Validate the complete program.
Work with qualified legal, compliance, and audit advisers to identify the requirements that apply to your organization and test the implemented controls.