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.
Jun 22, 2023
IAA AND COMPLY™ INVESTMENT ADVISER INDUSTRY SNAPSHOT FINDS RECORD NUMBER OF ADVISERS AND STAFF SUPPORTING SECTOR
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Jun 08, 2023
COMPLY publishes 2023 CCO Playbook for UK-based financial firms
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>
May 24, 2023
COMPLY NAMES MARTECH VETERAN AS CHIEF MARKETING OFFICER IN SUPPORT OF ITS ONGOING GROWTH INITIATIVES
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>
Apr 25, 2023
COMPLY Launches 2023 CCO Playbook
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>
Mar 15, 2023
COMPLY PARTNERS WITH ADVYZON TO STREAMLINE COMPLIANCE WORKFLOW EFFICIENCIES FOR WEALTH MANAGERS
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>
Feb 27, 2023
COMPLY™ portfolio firm ComplySci launches regulatory compliance buyer’s guide for U.S.-based financial firms
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>
Feb 02, 2023
COMPLY adds new capabilities and offerings to help compliance teams meet growing number of regulatory requirements
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>
Jan 26, 2023
COMPLY™ portfolio brand ComplySci releases regulatory compliance buyer’s process guide for UK-based financial firms
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>
Jan 19, 2023
COMPLY™ portfolio brands RIA in a Box® and NRS® annual compliance review guide and webinar to provide investment advisers with key strategies regarding SEC rule
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>
Jan 17, 2023
COMPLY adds technology, operations and finance expertise to expanded leadership team as it accelerates growth and integration strategy
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>
Jan 10, 2023
Intapp and ComplySci partner to streamline firm and personal conflict clearance operations
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Nov 30, 2022
ComplyConnect Spotlights Industry’s Top Regulatory Priorities
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Nov 10, 2022
ComplyConnect Conference & Expo announces first-ever ComplyConnect award winners
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>
Nov 08, 2022
Highlights from day one of ComplyConnect Conference & Expo
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Nov 08, 2022
COMPLYSCI, RIA IN A BOX, NRS AND ILLUMIS TO OPERATE AS COMPLY
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>
Oct 27, 2022
ComplySci named 2022 ‘Best New Solution Provider’ by Private Equity Wire
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>
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