Three services. Each one a specific compliance obligation handled well.
Ergovault focuses on the compliance documentation needs of regulated businesses — regulatory filings, AML reviews, and licensing financial documentation. Per-service pricing, defined scope, written deliverables.
Back to HomeWhat to expect from any engagement
Each service below addresses a specific type of compliance documentation obligation. They can be engaged independently — there is no minimum commitment across services, and no retainer structure that bundles services you do not need.
Every engagement produces a defined written output: a submission-ready filing, a review findings summary with recommendations, or a complete financial documentation package. Pricing is per-service, stated clearly, and does not vary based on engagement size or relationship history.
Per-service pricing — no retainer, no bundling
Defined scope stated before work begins
Preparation begins ahead of deadlines, not at them
Written deliverable with plain-language summary
Draft review period before final submission
Documentation formatted for long-term retention
Compliance & Regulatory Reporting
Regulated industries operate on a filing calendar that does not pause for operational pressures. Periodic filings, annual compliance submissions, and documentation responding to regulatory inquiries all arrive on schedule regardless of what else is happening inside your business.
This service covers the preparation of financial reports required by industry-specific regulatory bodies — from the initial gathering of required data through a submission-ready document package. We maintain a calendar of filing deadlines and begin preparation at a defined point ahead of each one, which creates time for review and adjustments before anything goes out.
The service is designed for businesses in regulated industries including financial services, insurance, and professional services. Each filing cycle produces a clean, organized submission with a written summary of what was filed and what it covered.
Who this is for
Financial services firms, insurance companies, professional services businesses subject to periodic regulatory filing obligations
What it covers
Periodic filings, annual compliance submissions, documentation for regulatory inquiries — one filing engagement per service
What you receive
Submission-ready filing package formatted to regulator specifications, plus a plain-language summary of what was filed
Process
Intake, data gathering, preparation, internal review, draft to client, revisions if needed, final submission package
Per-filing pricing. Covers one complete regulatory filing cycle from intake through submission-ready package delivery.
Get StartedAnti-Money Laundering Record Review
AML compliance documentation occupies a specific and consequential area of the compliance landscape for financial institutions and regulated entities. Transaction monitoring records, customer due diligence files, and suspicious activity report documentation are all subject to examination — and the quality of that documentation affects how examinations resolve.
This service provides a structured review of financial transaction records to verify compliance with applicable anti-money laundering requirements. The review covers transaction monitoring documentation, customer due diligence file assessment, and suspicious activity report preparation support. It concludes with a written findings summary that identifies any areas for improvement and provides concrete recommendations for addressing them.
The service is designed for financial institutions and regulated entities subject to AML compliance obligations who want a clear picture of where their documentation stands — and what, if anything, needs attention.
Who this is for
Financial institutions, banks, credit unions, money services businesses, and other entities subject to AML compliance requirements
What it covers
Transaction monitoring documentation review, CDD file assessment, SAR preparation support — one complete review cycle
What you receive
Written findings summary identifying compliance gaps, process improvement recommendations, and an organized record of the review conducted
Process
Document intake, systematic review against applicable requirements, findings analysis, draft summary for client review, final written report
Per-review pricing. Covers one complete AML record review from document intake through final written findings report delivery.
Get StartedLicensing Financial Documentation
License applications and renewals carry financial documentation requirements that are easy to underestimate. Licensing authorities specify particular formats for balance sheets, income statements, and supplemental schedules — and submissions that do not match those specifications are routinely held up, requiring additional rounds of preparation and resubmission.
This service handles the compilation and preparation of all financial statements and schedules required for professional or business license applications and renewals. Documents are formatted to the specifications of the relevant licensing authority, with all required supplemental schedules and supporting documentation included in the submission package.
The service is structured to handle the documentation side of a licensing application without requiring your team to navigate format requirements or interrupt ongoing operations. The output is a complete, submission-ready documentation package.
Who this is for
Businesses applying for new professional or business licenses, and entities undergoing license renewals that require financial documentation
What it covers
Balance sheet preparation, income statement formatting, supplemental schedules — formatted to licensing authority specifications
What you receive
Complete submission-ready financial documentation package formatted to the relevant licensing authority's requirements
Process
Licensing authority requirement review, document intake, preparation and formatting, client review period, final package delivery
Per-application pricing. Covers one complete licensing financial documentation package from document intake through submission-ready delivery.
Get StartedAll three services, side by side
| Service | Scope | Deliverable | Price |
|---|---|---|---|
|
Compliance & Regulatory Reporting
View details →
|
Periodic filings, annual compliance submissions, regulatory inquiry documentation | Submission-ready filing package + written summary | $900 /filing |
|
AML Record Review
View details →
|
Transaction monitoring, CDD file review, SAR preparation support | Written findings report + improvement recommendations | $2,000 |
|
Licensing Financial Documentation
View details →
|
Balance sheet, income statement, supplemental schedules for license applications | Complete submission-ready financial documentation package | $750 |
Regulated businesses across these sectors
Our services are shaped by the compliance environments of regulated industries. If your business operates in one of these sectors and carries regulatory filing or documentation obligations, we are likely a reasonable fit.
Financial Services
Investment advisers, broker-dealers, fund administrators, and related entities subject to periodic regulatory filing requirements
Insurance
Insurance companies and agencies with statutory reporting requirements, licensing obligations, and periodic compliance submissions
Professional Services
Licensed professional firms in law, accounting, and related fields with regulatory body reporting and licensing renewal requirements
Money Services
Money transmitters, payment processors, and currency exchange businesses with AML compliance documentation obligations
Banking & Credit
Community banks, credit unions, and lending institutions subject to AML record-keeping and periodic regulatory reporting requirements
Other Regulated Entities
Businesses in other sectors with professional licensing requirements or industry-specific compliance reporting obligations — contact us to discuss your situation
Not sure which service fits your situation?
A brief conversation is usually enough to work out which service addresses your compliance need — or whether a combination makes sense. Tell us what you are dealing with and we will take it from there.
Get in Touch