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
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ComplianceGuardian
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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.
Mar 19, 2024
COMPLY Publishes 2024 Elections Insight Report Analyzing 1,200 Candidates Running for Presidential, Senate, or House to Assess Potential Pay-to-Play Compliance Considerations in General Election Cycle
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>
Mar 14, 2024
COMPLY Publishes New Data Report Providing Strategic Insight into the Evolving Regulatory Landscape and Compliance Functionalities
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>
Feb 22, 2024
COMPLY Announces Strategic Global Expansion with Comprehensive UK Service Offerings for FCA-Regulated Firms
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>
Jan 18, 2024
COMPLY Publishes Ultimate New Registration Toolkit Providing Tactical Strategies for Advisory Firms Registering with the State or SEC
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>
Dec 12, 2023
COMPLY PARTNERS WITH PITCHBOOK TO REVIEW IMPACT OF REGULATORY AND TECHNOLOGICAL CHANGES ON PRIVATE EQUITY DEALS AND M&A STRATEGY
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>
Dec 06, 2023
COMPLY NAMED TO 2024 REGTECH100 LIST OF INNOVATIVE COMPANIES
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>
Dec 05, 2023
COMPLY and ZenLedger Partner to Deliver First Integrated Digital Asset Compliance Solution
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>
Nov 20, 2023
COMPLY PUBLISHES ANNUAL REVIEW GUIDE TO AID FIRMS NAVIGATING NEW REGULATIONS AND RULES
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>
Nov 15, 2023
COMPLY™ PROGRAM MANAGEMENT SOFTWARE AND ANNUAL REVIEW SERVICE LAUNCHED BY COMPLY
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>
Nov 09, 2023
COMPLY Names 2023 COMPLYConnect Award Winners and Finalists and Announces COMPLYConnect 2024
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>
Oct 11, 2023
COMPLY NAMES SEJAL PIETRZAK BOARD CHAIRPERSON
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>
Sep 28, 2023
COMPLY’S 2023 ULTIMATE GUIDE TO CYBERSECURITY COMPLIANCE OUTLINES PRINCIPLES OF A STRONG CYBER PROGRAM IN A DYNAMIC REGULATORY AND RISK ENVIRONMENT
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>
Aug 15, 2023
COMPLY RANKED NO. 2,095 ON INC. 5000 LIST OF FASTEST-GROWING COMPANIES
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>
Aug 03, 2023
2023 COMPLY™ Regulation Rundown Arms Compliance Leaders with a Comprehensive Overview of Dynamic Regulatory Landscape
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>
Jul 17, 2023
COMPLY and InvestorCOM Expand Partnership for Best Interest Recommendations
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>
Jun 28, 2023
SECOND-ANNUAL COMPLYCONNECT CONFERENCE PROVIDES AN EDUCATIONAL FORUM FOR REGULATORY COMPLIANCE LEADERS TO ADDRESS EMERGING TRENDS AND RISKS
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