COMPLY Products

We’ve got the products to solve for your most complex compliance challenges. Ready to achieve compliance with confidence?

Manage and mitigate your specific risk points.

The ComplySci Platform

ComplySci’s scalable and sophisticated platform enables firms of all sizes to accurately and effectively monitor and mitigate compliance risks associated with employee trade monitoring, MNPI, and more.

  • Employee trade monitoring, including Digital Asset Monitoring
  • Compliance program management
  • Control Room
  • And more
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RIA compliance made simple.

The RIA in a Box Platform

Manage complex regulatory tasks with the compliance solution designed by RIA compliance experts to address an RIA’s unique compliance needs.

  • Compliance program management for RIAs
  • Communications archiving and review
  • Rollover Analyzer and Dashboard
  • And more
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Access thousands of public data sets with ease.

illumis

The illumis Platform, the leading public data monitoring platform, enhances transparency, reduces risk, and supports ongoing compliance.

  • Political contribution compliance
  • Outside Business Activity Verifications
  • Public records search and monitoring
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Guard against compliance risk.

ComplianceGuardian

Designed to be the backbone of your firm’s compliance infrastructure, ComplianceGuardian is your best resource to guard against compliance risk.

  • Compliance document management including Policies and Procedures, WSPs, Code of Ethics, and more
  • Disclosures management including Form ADV 2B, Form CRS, and Reg BI disclosures
  • Registration and License tracking
  • And more
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Ready to go virtual?

Itegria

Meet your new Qualified Technology Partner. COMPLY offers a comprehensive approach to your firm’s technology needs with Itegria Virtual Desktop.

  • Virtual Desktop, powered by AWS
  • Outsourced IT
  • Cybersecurity infrastructure
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Discover the breadth of solutions COMPLY has to offer and why over 7,000 of the world's largest financial firms have trusted our products and services to help them COMPLY with confidence.