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
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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.
May 28, 2021
ComplySci Wins Best Regulatory & Compliance Adviser at the Institutional Asset Manager Awards
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May 07, 2021
ComplySci Honored with Silver and Bronze Stevie® Awards in the 2021 American Business Awards®
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May 05, 2021
RIA in a Box Announces Strategic Acquisition of Leading Cloud-based Virtual Desktop Provider, Itegria
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>
Jan 14, 2021
ComplySci Names Amy Kadomatsu CEO, Announces Executive Promotions and New Chief Sales Officer Hire
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>
Nov 10, 2020
Investment Adviser Industry Saw Records in 2019, According to New Evolution Revolution Report
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>
Sep 30, 2020
RIA in a Box Launches Compliance Software for Private Funds
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>
Jul 21, 2020
RIA in a Box® Mobile App Launches, Giving RIAs Access to Compliance Tools Anywhere, Anytime
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>
Jul 16, 2020
RIA in a Box Launches Cybersecurity Insurance Offering to Provide RIAs Access to Industry Leading Coverage
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Jun 02, 2020
RIA in a Box Joins with Morningstar, Redtail, and Riskalyze to Provide New RIAs Free Access to Top Industry Technologies Upon Registration
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Apr 08, 2020
RIA in a Box Announces New Form CRS Tool as Part of MyRIACompliance® Platform
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Mar 05, 2020
ComplySci® UK Managing Director to Speak at TSAM London Conference
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Feb 18, 2020
RIA in a Box Launches Open API for MyRIACompliance at T3 Advisor Conference
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Dec 17, 2019
RegTech Leader ComplySci Expands Global Presence with New London Office
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Sep 12, 2019
Investment Adviser Sector Continues Growth with Record High RAUM and Number of Clients
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Jul 10, 2019
Former U.S. Attorney Preet Bharara to Headline 2019 ComplySci® Summit
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Jun 11, 2019
ComplySci Recognized as “Top 10 Hedge Fund Technology Solution Providers – 2019” by Capital Markets CIO Outlook
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