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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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.
Apr 17, 2024
Thornton & Associates, LLC to Leverage Best-in-Class Capabilities of COMPLY’s Premier Compliance Technology to Bolster Innovative Automation and Drive Comprehensive Compliance Management for Clients
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>
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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>
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