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Nucleus One

Nucleus One for SOX and FINRA

Audit-ready records without the scramble.

Nucleus One keeps sensitive work in controlled projects, routes every review and approval, and keeps a full history on every document. It helps you meet SOX and FINRA, and hands auditors one organized place to look.

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Example: one document, its whole story
  1. 01PreparerUploads the March reconciliation
  2. 02WorkflowRoutes it to the controller for review
  3. 03ControllerApproves and signs
  4. 04AuditorOpens it read-only, with the full history

01The problem

Who approved it, and when?

When evidence lives in email and shared drives, every audit question turns into a search. In Nucleus One, the answer is on the document: who uploaded it, who reviewed it, who signed and every version in between.

02What Nucleus One does

The guardrails are built in.

Everything below comes with Nucleus One, on every plan. Nothing to add on.

  • Admin, member and read-only roles on every project
  • Authenticator-app MFA, with an option to require it for everyone
  • No-code workflows, approvals and built-in e-signatures
  • Versions with restore on every document
  • A full activity history on every document and project
  • Search inside every file, including scanned documents

03By program

Pick your guide.

  • SOX

    Operate and evidence internal controls.

    • Restrict financial-reporting projects
    • Route recurring reviews and approvals
    • Keep versions and activity as evidence
    See the SOX guide

  • FINRA

    Organize records and prove supervision.

    • Organize records by type
    • Route supervisory reviews
    • Control access to client files
    See the FINRA guide

04Getting set up

Four steps to audit-ready.

  1. 01

    Map the work

    List the processes and records you need to control.

  2. 02

    Build the projects

    One project per process, with roles for the owners.

  3. 03

    Turn on the guardrails

    Require MFA, set workflows and approvals.

  4. 04

    Show your work

    Versions and history answer the audit questions.

Nucleus One runs on Google Cloud, whose infrastructure is SOC 2 / ISO 27001 certified.

Authenticator-app MFA, with an option to require it for everyone in your organization.

Trusted by 1,000+ organizations since 2002.

Free live demo

See Nucleus One set up for your audit.

Book a free demo and we will show you around, answer your questions and run your real paperwork through it. No cost, no pressure.

  • A live tour of the products that fit your work
  • Your own documents, set up and shown working
  • Your workflow and process, mapped with you
  • Straight answers from people who build it
Book a free demo(863) 937-0272
Engraved illustration: file boxes, a document scanner and a PC at a desk