Your investment advisory firm faces new risk and regulatory challenges on a near daily basis. With the Securities and Exchange Commission (SEC) hyper-focused on evolving their regulatory presence to meet the changing industry, registered investment advisers are tasked with navigating increasingly complex regulations all while maintaining client trust and protecting their best interest. We get it. We can help.
Whether you are a part of a large firm or a breakaway, a state- or SEC-registered adviser, your firm has an ever-growing number of regulatory requirements to meet and track. But you don’t have to do it alone.
At COMPLY, we are obsessed with the details, taking the time to precisely analyze new regulations, like the SEC Marketing Rule, to provide thorough solutions to help your firm navigate the ever-evolving landscape. It’s why we offer a full suite of technology, consulting and educational resources to help you effectively manage your compliance program so you can focus on delivering value for your most valuable asset – your clients.
– Dually registered investment adviser and broker-dealer firm senior compliance officer
Regulators are using intelligent technology and data metrics to identify a firm’s non-compliant activity. Automating compliance workflows and analyzing underlying data to spot red flags gives you the ability to identify and quickly address risks of noncompliance and get ahead of regulatory challenges and SEC examination focus areas.
When an investment adviser is charged with an enforcement action, the firm faces costs associated with business disruption, productivity, lost revenue, fines, penalties and settlements costs. These not only weaken a client’s trust, but also often dilute the client’s returns. Implementing compliance software shows your commitment to ethical behavior, giving your clients confidence they are making a smart investment.
Compliance professionals are committed to always getting the job done, even if it means spreading themselves thin. That doesn’t have to be the only way though. The COMPLY suite of solutions, including technology, consulting and education, help take the manual work out of compliance, reducing the risk associated with non-reporting, entry error and more. Rest easy knowing you have a partner as meticulous as you.
COMPLY offers various solutions for investment advisers to streamline their compliance tasks and efficiently meet the Securities and Exchange Commission’s (SEC) requirements. Learn more about our investment adviser compliance solutions, including the ComplySci Platform and Control Room.
Yes, COMPLY offers various RIA firm-specific software and services, including RIA registration, compliance support, employee supervision, and cybersecurity.
COMPLY provides our customers with the service and support required to meet the exacting demands of the regulatory industry, while embodying the attention to detail you demand of yourself and your team. With 24/5 support and unparalleled in-house expertise, your program is our priority from the moment you begin the onboarding process. That’s our promise to you.
You can contact our Customer Support team here.
Complete this form to schedule a full demo and see firsthand what our compliance solutions can do for you.
Dependable. Accurate. Comprehensive. Manage your compliance program with a partner who is as dedicated to getting it right as you are. Manage your compliance program with COMPLY.
