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|---|---|---|
| Total compliance program management | ||
| Expert consulting and managed services | ||
| Award winning customer support | ||
| Continuing education | ||
| Direct broker feeds to automate trade matching | ||
| Automated and guided annual review | ||
| Case management and violations logging | ||
| Code of Ethics monitoring and Know Your Employee solution | ||
| Communications and archiving | ||
| Audit logs, documentation, and reporting |
COMPLY’s solutions are designed to empower programs from registration onward. As the only comprehensive compliance partner to support registration, compliance program management, and scaling regulatory needs, you can trust our configurable architecture to meet you where you are today and evolve with you for tomorrow.
Combining the power of regulatory and technology expertise, our services and education enable more strategic compliance support, going beyond automation to advance your program and your career.
Say goodbye to data silos, missed information, and compliance headaches. And hello to the holistic view of compliance you need in today’s fast-paced, data-driven world. Leverage the only comprehensive solution, combining employee, firm, and third-party compliance, to enable more proactive, strategic decision making.
