Compliance for Registered Investment Advisers

Comply’s Compliance Calendar helps you manage deadlines and document activity without the spreadsheet sprawl. And as you complete activities, everything is logged – streamlining documentation and preparing you for future exams.

• Pre-loaded with tasks based on your firm profile
• Embedded best-practice instructions written by compliance experts
• Customize calendar entries, assign ownership, and track progress
• Generate reports with a full audit trail of activities for stakeholders and regulators

From initial registration to ongoing filings, Comply helps navigate complexity. Keep your investment adviser representatives properly registered across jurisdictions with Comply’s streamlined IAR registration support.  

Our experts guide you through each step of the registration process and support your team with timely, regulator-ready filings.

• Support for both SEC and state RIA registration
• Prepare and file Form ADV (Parts 1, 2A, 2B, 3) – and more (Form U4)
• Draft essential documents like your Code of Ethics and Policies and Procedures
• Handle ongoing communication with regulators, including timely responses to deficiency letters
• Registration tracking and CE reminders
• Series 65 support and license management

Capture, review, and store client communications in a WORM-compliant format across key channels, including: 

• Email: Preserve every communication sent or received across your email’s domain 
• Websites: Snapshot and retain web content to support marketing compliance 
• Text Messaging: Capture text messages natively across iMessage and WhatsApp – no app-switching required. 
• Social Media: Capture and store firm & employee posts from LinkedIn and X 
• Professional Messaging: Preserve communications sent through 3rd party texting services, including MyRepChat, CellTrust, and RedTail Speaks 

Comply’s partnership with LeapXpert makes us one of the few vendors who offer truly native iMessage and WhatsApp capture. That means employees can text through iMessage and WhatsApp as they regularly would – no app-switching required. 

• Capture full conversation threads, edited and deleted messages, timestamps, attachments and multimedia, and message reactions (i.e. emojis) 
• Reps can keep their existing phone numbers 
• Compliant with Apple and WhatsApp terms of service 
• Full encryption from capture to archive 

No more end-of-year fire drills. Comply’s Annual Review Tool helps you document your compliance activities as you go – enabling quick generation of your annual review report.

• Guided workflow aligned with SEC Rule 206(4)-7
• Simultaneously execute, document, and analyze compliance activities throughout the year
• Export a comprehensive report – whenever you need it

Comply’s Risk Assessment Tool helps you evaluate key risk areas, link them to policies, and create a defensible record – all in one place.

• Step-by-step evaluation of key risk areas like cybersecurity, vendor risk, frequent traders, and more
• Assign risk ratings on a scale; link them to existing or updated policies
• Surface gaps, track mitigation, and drive continuous improvement
• Export reports for audits, board reviews, or internal analysis

From personal trading to outside business activities (OBAs), Comply gives you a structured way to oversee employees – and maintain clear documentation along the way.

• Manage certifications, attestations, OBAs, and personal trading
• Automate preclearance workflows and flag restricted activity
• Review and reconcile trades against policies, restricted lists, blackout periods, and client transactions
• Maintain audit logs to document supervision activities

Construct and implement a customized cybersecurity compliance program within a single solution, with best practices built upon the five pillars of the NIST cybersecurity framework.

• Email phishing attack simulation
• Third-party vendor due diligence
• Technology inventory and risk assessment