Whether you manage five, 500 or 5,000+ registered broker-dealer representatives, we know how burdensome manual processes can be, taking your team’s time, energy and focus away from other high-priority initiatives. Not anymore – say hello to automation with accuracy!
Whether you’re focusing on institutional or retail trades, we know the Financial Industry Regulatory Authority (FINRA) and Securities and Exchange Commission (SEC) play a major role in your day-to-day responsibilities.
Strict oversight, combined with the challenges of the evolving regulatory landscape, mean a lot is expected from your compliance team, which is why we know you demand a partner that’s as accurate, precise, and dependable as you.
Meet COMPLY. With the power of our portfolio of firms, we combine technology, consulting, and educational solutions to help keep your compliance program at peak performance. Ready to see how we can help you achieve compliance?
“Rather than having to ask and follow-up with all 33 registered representatives to review, complete and sign various documents, we love having everything on one platform. The process is seamless, whether it’s onboarding, certifications or annual reviews.”
– Bluerock Capital Markets, LLC Senior Compliance Officer Kamala Connors
We understand your passion and commitment to excellence. Our solutions provide you with the tools you need to not just get the job done, but to get it done right.
As a broker-dealer, you can leverage our compliance infrastructure to automate your processes and streamline the management of personal trading, gifts and gratuities, pay-to-play, outside business activities, and other potential conflicts to avoid potentially damaging FINRA violations.
Regulators are increasingly leveraging technology to identify violations. A comprehensive compliance solution uses data and software to ensure your teams are well-prepared for examinations. Our solutions can reduce the amount of time your team spends gathering data by as much as 70%, allowing you more time to respond to changing regulations with confidence and agility.
Let us help you make sense of your data. Our automated reports can help you gain insight into potential gaps or areas of risk, as well as identify trends within your organization. Together we can power your compliance program.
Broker-dealers are registered with the SEC and are members of FINRA, thus subject to SEC and FINRA rules. Violations of either SEC or FINRA rules carry significant consequences, including censure, fines, and reputational damage.
COMPLY provides our customers with the service and support required to meet the exacting demands of the regulatory industry, while embodying the attention to detail you demand of yourself and your team. With 24/5 support and unparalleled in-house expertise, your program is our priority from the moment you begin the onboarding process. That’s our promise to you.
You can contact our Customer Support team here.
As part of the COMPLY portfolio, ComplySci customers have access to leading continuing education programs, including the NRS IACCP courses and the RIA in a Box Investment Adviser Representative (IAR) program for those broker-dealers in state which have implemented the North American Securities Administration Association (NASAA) requirement.
When you work with a compliance technology firm that has established direct brokerage feeds, the broker carrying the account sends electronic data files to your firm’s compliance system directly through a secure connection. Data files include the holdings and transaction activity for all of your firm’s employees’ accounts held at that broker.
With integrated direct broker feeds from more than 300 brokerage firms and a robust data normalization process, COMPLY provides unrivaled information accuracy and dependability. These feeds:
COMPLY offers a Marketing Review Module which aids broker-dealers in complying with all requirements within the new rule.
COMPLY customers have access to the registration and licensing solution, RepTracker. This solution aggregates and manages data about registered reps, including licenses, registrations, and renewals on a state-by-state level through a single, centralized database.
As part of the COMPLY portfolio of firms, customers have access to the ComplianceGuardian solution, which helps broker-dealers maintain their Written Supervisory Procedures manual.
COMPLY customers have access to our RolloverAnalyzer solution, which supports compliance with the DOL’s PTE 2020-02 exemption.
Complete this form to schedule a full demo and see firsthand what our compliance solutions can do for you.
Dependable. Accurate. Comprehensive. Manage your compliance program with a partner who is as dedicated to getting it right as you are. Manage your compliance program with COMPLY.
