Political Contributions and OBA Monitoring

Meet the leading solution used by compliance teams for automated monitoring of political contributions on the federal, state, and local level. COMPLY’s political contribution monitoring platform is specifically tailored to help financial institutions accurately and effectively operationalize pay-to-play regulatory compliance processes.

• Maintain compliance with federal, state, and local pay-to-play regulations like SEC Rule 206(4)-5, MSRB Rule G-37, FINRA Rules 2030 and 4580, CFTC Regulation 23.451, and state/local pay-to-play regulations
• Leverage comprehensive and accurate campaign finance data across all 50 states and D.C., federal data, hundreds of cities, counties, and local jurisdictions
• Access timely, actionable data with automated daily monitoring and alerts, time-saving workflow tools, and sophisticated filters to remove false positives
• Seamlessly incorporate self-reporting and contribution requests

Maintain FINRA Rule 3270 or IA conflicts of interest disclosure compliance with one easy-to-use interface for form completion and submission, amendment for when activities change and streamlined ability to request additional information and deny, approve, or approve with restrictions.

• Track OBA preclearance requests
• Monitor activity
• Report on potential instances of noncompliance