Designed to be the backbone of your firm’s compliance infrastructure, ComplianceGuardian is your best resource to guard against compliance risk and maintain regulatory standards.
Create and review policies, upload supporting files, archive content, and flag discrepancies with ease.
Generate disclosures specific to each of your firm’s representatives and ensure your firm is exercising reasonable diligence, care, and skill in making recommendations.
Confidently stay in compliance with our Monthly Compliance solution.
Generate a firm-specific document with a profile driven solution.
Effectively aggregate data and gain insight into the real-time information required to successfully lead your firm’s compliance program and manage your registered representatives.
Swiftly develop “plain English” disclosures with the Form ADV 2B solution.
Integrated direct broker feeds from more than 300 brokerage firms and a robust data normalization process provide unrivaled information accuracy and dependability.
With automated workflows, in-depth reporting and secure APIs, you can rest assured we’ve got your compliance program covered, giving you more time to focus on what matters most — your clients and investors.
Offering a suite of robust solutions to meet your unique compliance needs, COMPLY provides the depth and breadth of compliance solutions to help you navigate complexity with ease.
Your focus is on your clients. Our focus is on your compliance. Deliver an alpha strategy anchored in comprehensive risk assurance, all while maintaining compliance with precision and ease. How? With COMPLY. Backed by the experts across the COMPLY portfolio, you can rest assured we have the details — from Form ADV disclosures to Form 13F and back again — covered.
Yes, designed to meet the ongoing challenges Compliance professionals face, the ComplianceGuardian platform for Investment Advisers is designed from the ground-up to help you build and maintain a strong compliance program. Our cost-effective solution includes an improved user experience and added features, provides your firm with the flexibility to choose the right mix of modules and features to fit your needs and foster a culture of compliance confidence.
Yes, designed with compliance in mind, ComplianceGuardian provides broker-dealers with flexibility and peace of mind in maintaining a robust, streamlined and cost-effective compliance operation for your broker-dealer firm. Including an improved user experience and newly added features designed to streamline supervision and oversight.
Aggregating data from hundreds of public data sources, the illumis Platform enables firms to accurately and effectively track political contributions, OBAs, and more.
Aggregating data from hundreds of public data sources, the illumis Platform enables firms to accurately and effectively track political contributions, OBAs, and more.
ComplySci’s scalable and sophisticated platform enables firms of all sizes to accurately and effectively monitor and mitigate compliance risks associated with employee trade monitoring, MNPI, and more.
Easily implement and manage a comprehensive compliance program with the compliance solution designed to address an RIA’s unique compliance requirements.
Designed to be the backbone of your firm’s compliance infrastructure, ComplianceGuardian is your best resource to guard against compliance risk.
Meet your new Qualified Technology Partner. COMPLY offers a comprehensive approach to your firm’s technology needs with Itegria Virtual Desktop.
Download the 2023 Investment Adviser Industry Snapshot, co-published by COMPLY and the Investment Adviser Association for a look at the recent trends and data regarding the IA industry.
