Compliance & records

Screening at onboarding, tax forms across the account lifecycle, and an evidentiary record designed to satisfy examiners — built into the platform, not bolted on.

Screening at onboarding

When you create a client you can attach an OFAC screening payload, and A8 Core™ evaluates sanctioned-party and watchlist checks as part of onboarding. Sanctioned parties and unlawful businesses are prohibited outright — see Prohibited & restricted businesses for the full policy.

"ClientType": "Individual",
"Contact": { "FirstName": "Jordan", "LastName": "Rivera" },
"OFAC": { "ScreenedAt": "2026-08-01T17:00:00Z", "Result": "Clear" }

The evidentiary record

Every directive is written to an immutable, audit-ready trail keyed by RequestId. The same record answers model-risk (SR 26-2), fair-lending (ECOA / Reg B), and UDAAP questions, because operationally they draw on the same facts: what was decided, when, on what inputs, and by whom. That is the core idea behind A8 Core™’s SR 26-2 evidentiary-records framework.

• Each request and state change is timestamped and attributable.
• Records are append-only — corrections are new entries, never silent edits.
• The RequestId on every API response ties your logs to ours.

Tax forms and lifecycle events

Retirement and custody activity generates the appropriate IRS forms, and lifecycle events — recharacterizations, Roth conversions, required minimum distributions — are recorded as first-class directives with their own evidentiary entries. Retrieve forms and history through the account and client read operations.

Data isolation and retention

Provider credentials scope every record to you; there is no cross-provider access. Retention follows regulatory requirements for financial records, and access is logged like any other action.

Requesting documentation

For attestations, our certification roadmap, subprocessor list, and DPA, see the Security portal or request the security package under NDA via contact.

Where to next