Who We Serve
Who We Serve
Private Funds
From MNPI to conflicts of interest and beyond. We help you manage the full scope of your compliance program.
Wealth Management & RIAs
It’s time to make compliance manageable. Meet the one-stop-shop for all your compliance needs.
Broker-Dealers
Don’t let regulatory burdens overun your broker-dealer firm. Manage compliance with ease. How? With COMPLY.
Investment Banks
Invest in the only compliance solution able to provide a full 360-degree view of risk. Invest in a scalable, configurable solution designed to meet your needs.
Products
COMPLY Product Suite
OneCOMPLY (formerly ComplySci)
The comprehensive solution to meet your complex compliance requirements.
RIA in a Box
Manage the full scope of your compliance program from one platform.
illumis
Real-time political contribution monitoring and intelligence to ensure pay-to-play compliance.
COMPLY for Businesses
Private Funds
From MNPI to conflicts of interest and beyond. We help you manage the full scope of your compliance program.
Wealth Management & RIAs
It’s time to make compliance manageable. Meet the one-stop-shop for all your compliance needs.
Broker-Dealers
Don’t let regulatory burdens overun your broker-dealer firm. Manage compliance with ease. How? With COMPLY.
Investment Banks
Invest in the only compliance solution able to provide a full 360-degree view of risk. Invest in a scalable, configurable solution designed to meet your needs.
COMPLYConnect 2025, Miami, FL
Join Us: October 14 – 17
Sign up to be the first to hear when registration opens for COMPLYConnect 2025!
Learn more
Services
Compliance
Compliance Review
Compliance Consulting
Regulatory Filings
Administrative Services
Consulting & Support
New Registration
IAR and Representative Registration
Broker-Dealer Registration
SEC and State IA Registration
Education / CRE
IACCP® and IA Core Programs
IAR CE
Comply Desktop Seminars
COMPLYConnect Conference & Expo
3rd-Party Compliance
Counterparty Due Diligence
Cybersecurity and Outsourced IT
Vendor Due Diligence
Resources
Resources
Resource Library
Check out the latest blogs, articles, guides, and more to help you stay a step ahead of the regulatory curve.
Online Courses
Continue your regulatory education and certification requirements with our live and on-demand courses.
Events and Webinars
From upcoming webinars to in-person conferences, check out these must-attend events.
Company
Company
About COMPLY
COMPLY News
Events & Webinars
Awards
Careers
Leadership
Contact Us
Support
Login
IACCP Resource Center
ComplianceGuardian
Desktop on Demand
ComplySci
illumis
RIA in a Box
SCHEDULE A DEMO
Support
Login
IACCP Resource Center
ComplianceGuardian
Desktop on Demand
ComplySci
illumis
RIA in a Box
SCHEDULE A DEMO
COMPLY Newsroom
Stay up to date with the latest news from the experts in regulatory compliance.
Feb 11, 2025
COMPLY Unveils 2025 Roadmap: Future-Proofing Compliance with Next-Generation Innovation
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Jan 07, 2025
COMPLY Expands Commercial Leadership Team to Support Global Expansion and Growth
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Dec 04, 2024
COMPLY Appoints Global Risk and Regulatory Compliance Leader Jamila Mayfield as New Chief Regulatory Services Officer
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Nov 21, 2024
Tech Veteran Deepak Kaimal Joins COMPLY as Chief Technology Officer
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Oct 28, 2024
Outstanding Compliance Professionals in the Financial Services Industry Honored at COMPLYConnect ‘24
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Oct 17, 2024
COMPLY’s 2024-2025 UK CCO Playbook Assesses Scope of FCA Regulatory and Enforcement Activity, Details Escalating Compliance Demands Placed on UK-Based Financial Institutions
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Oct 16, 2024
COMPLY Announces 2024 COMPLYConnect Award Finalists in Year of Record-Breaking Nominations
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Sep 17, 2024
COMPLY Expands UK Risk Management Capabilities for FCA-Regulated Firms with Latest Senior Managers and Certification Regime (SMCR) and Risk Assessment Releases
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Aug 15, 2024
COMPLY RECOGNIZED ON THE 2024 INC. 5000 LIST OF FASTEST-GROWING PRIVATE COMPANIES IN AMERICA FOR THIRD CONSECUTIVE YEAR
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Jul 17, 2024
With Addition of AccountCompare, COMPLY Delivers COMPLY Fiduciary Suite to Address Duty of Care, Reg BI, and DOL PTE 2020-02 Requirements
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>
Jun 20, 2024
2024 Investment Adviser Industry Snapshot Shows Increase in Demand for Adviser Services
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May 29, 2024
COMPLY’s 2024 U.S. CCO Playbook Details Current Regulatory and Market Outlook to Provide Advisory Firms with Comprehensive Guide for the Coming Year
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May 17, 2024
COMPLY 2024 Customer Summits Brings Nearly 500 Global Financial Advisory Firms together to Discuss Trending Compliance Initiatives and Hear from Experts in the Regulatory Industry
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May 08, 2024
COMPLY Enhances Executive Leadership Team with Appointments of Jeff Hilk as Chief Revenue Officer and Wendy Werve as Chief Market Officer
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May 02, 2024
COMPLY Opens Nominations for Third-Annual COMPLYConnect Conference & Expo Awards
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Apr 24, 2024
COMPLY Names Michael J. Stanton as New CEO
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