Broker-dealers
Our solutions help firms navigate the regulatory landscape where compliance failures have brought severe penalties, lawsuits and reputational damage.
COMPLY provides institutional compliance technology solutions to empower firms to effectively navigate the regulatory landscape. From hedge fund to private equity, registered investment adviser to broker-dealer, our solutions are designed to meet your unique compliance challenges.
Our solutions help firms navigate the regulatory landscape where compliance failures have brought severe penalties, lawsuits and reputational damage.
Our advanced hedge fund compliance software helps alleviate the administrative burden and provides solutions for financial risk management.
The world of institutional investments is complex and includes a regulatory environment, which can be difficult to navigate on your own.
Our insurance compliance solutions are specifically designed to reduce risk, maintain customers’ trust and drive efficiency.
Our investment adviser solutions empower investment advisers to stay ahead of compliance risks, helping to gain and maintain client trust with thorough due diligence and regulatory monitoring.
Our compliance offerings provide the same safety and security investments banks have always prided themselves on.
Implement, monitor and track all aspects of your compliance program to ensure your compliance program is an asset, not a liability.
Unlock your data and gain a comprehensive view into employee trading, political contributions, outside business affiliations, marketing materials, initial public offerings and more.
Meet heightened FCA compliance requirements, protect your reputation and grow client trust with customized process and workflows, and data insight.