“I love that the company has created a culture that solicits feedback to continually evolve the product to fit the customers’ needs. The support team is incredibly knowledgeable, and it shows!” – David Becker, CFIP
Continuing education from the premier industry provider.
Whether you need IAR CE for a team of 200 or a team of just you, COMPLY has high-quality and accessible courses that fulfill the investment adviser representative (IAR) continuing education requirements.
Courses are designed to address core interests and the latest compliance challenges, while providing critical credits for IAR CE requirements in:
Plus, COMPLY will report course completion to FINRA.
“I love that the company has created a culture that solicits feedback to continually evolve the product to fit the customers’ needs. The support team is incredibly knowledgeable, and it shows!” – David Becker, CFIP
“The customer service at COMPLY is special. They are all extremely knowledgeable and friendly. I appreciate the team always allows me the opportunity to walk through the product and learn, so I can reduce the times I must reach out again in the future.” – Jackie Jacobs, VSS
Integrated direct broker feeds from more than 300 brokerage firms and a robust data normalization process provide unrivaled information accuracy and dependability.
With automated workflows, in-depth reporting and secure APIs, you can rest assured we’ve got your compliance program covered, giving you more time to focus on what matters most — your clients and investors.
Offering a suite of robust solutions to meet your unique compliance needs, COMPLY provides the depth and breadth of compliance solutions to help you navigate complexity with ease.
Your focus is on your clients. Our focus is on your compliance. Deliver an alpha strategy anchored in comprehensive risk assurance, all while maintaining compliance with precision and ease. How? With COMPLY. Backed by the experts across the COMPLY portfolio, you can rest assured we have the details — from Form ADV disclosures to Form 13F and back again — covered.
COMPLY™ is an approved continuing education provider, with resources and training materials available on the RIA in a Box® Platform.
Ensure you and your team are maintaining your IAR continuing education requirements…with a technology solution designed to automate the program from start to finish.
Get a front row seat to the latest news and trends shaping compliance, risk, and governance. Join hundreds of your fellow compliance professionals at the premier compliance conference.
Get a front row seat to the latest news and trends shaping compliance, risk, and governance. Join hundreds of your fellow compliance professionals at the premier compliance conference.
Co-sponsored by the Investment Adviser Association, COMPLY’s core education programs provide you with the comprehensive knowledge to help your firm build a strong compliance program with industry-recognized best practices.
Education to advance your career without overburdening your calendar. Introducing the on-demand education program designed to work with your busy schedule.
Expand your knowledge, grow your skills and fulfill your investment adviser representative (IAR) continuing education requirements.
Register for COMPLY’s upcoming education courses for expert insight into key compliance areas and how to adapt your program to meet new requirements.
