Who We Serve
Who We Serve
Private Funds
From MNPI to conflicts of interest and beyond. We help you manage the full scope of your compliance program.
Wealth Management & RIAs
It’s time to make compliance manageable. Meet the one-stop-shop for all your compliance needs.
Broker-Dealers
Don’t let regulatory burdens overun your broker-dealer firm. Manage compliance with ease. How? With COMPLY.
Investment Banks
Invest in the only compliance solution able to provide a full 360-degree view of risk. Invest in a scalable, configurable solution designed to meet your needs.
Products
COMPLY Product Suite
OneCOMPLY (formerly ComplySci)
The comprehensive solution to meet your complex compliance requirements.
RIA in a Box
Manage the full scope of your compliance program from one platform.
illumis
Real-time political contribution monitoring and intelligence to ensure pay-to-play compliance.
COMPLY for Businesses
Private Funds
From MNPI to conflicts of interest and beyond. We help you manage the full scope of your compliance program.
Wealth Management & RIAs
It’s time to make compliance manageable. Meet the one-stop-shop for all your compliance needs.
Broker-Dealers
Don’t let regulatory burdens overun your broker-dealer firm. Manage compliance with ease. How? With COMPLY.
Investment Banks
Invest in the only compliance solution able to provide a full 360-degree view of risk. Invest in a scalable, configurable solution designed to meet your needs.
COMPLYConnect 2025, Miami, FL
Join Us: October 14 – 17
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Resources
Resource Library
Check out the latest blogs, articles, guides, and more to help you stay a step ahead of the regulatory curve.
Online Courses
Continue your regulatory education and certification requirements with our live and on-demand courses.
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From upcoming webinars to in-person conferences, check out these must-attend events.
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IACCP Resource Center
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illumis
RIA in a Box
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COMPLY Publishes 2024 Elections Insight Report Analyzing 1,200 Candidates Running for Presidential, Senate, or House to Assess Potential Pay-to-Play Compliance Considerations in General Election Cycle
News Article | Mar 19, 2024
COMPLY Publishes New Data Report Providing Strategic Insight into the Evolving Regulatory Landscape and Compliance Functionalities
News Article | Mar 14, 2024
COMPLY Announces Strategic Global Expansion with Comprehensive UK Service Offerings for FCA-Regulated Firms
News Article | Feb 22, 2024
COMPLY Publishes Ultimate New Registration Toolkit Providing Tactical Strategies for Advisory Firms Registering with the State or SEC
News Article | Jan 18, 2024
COMPLY PARTNERS WITH PITCHBOOK TO REVIEW IMPACT OF REGULATORY AND TECHNOLOGICAL CHANGES ON PRIVATE EQUITY DEALS AND M&A STRATEGY
News Article | Dec 12, 2023
COMPLY NAMED TO 2024 REGTECH100 LIST OF INNOVATIVE COMPANIES
News Article | Dec 06, 2023
COMPLY and ZenLedger Partner to Deliver First Integrated Digital Asset Compliance Solution
News Article | Dec 05, 2023
COMPLY PUBLISHES ANNUAL REVIEW GUIDE TO AID FIRMS NAVIGATING NEW REGULATIONS AND RULES
News Article | Nov 20, 2023
COMPLY™ PROGRAM MANAGEMENT SOFTWARE AND ANNUAL REVIEW SERVICE LAUNCHED BY COMPLY
News Article | Nov 15, 2023
COMPLY Names 2023 COMPLYConnect Award Winners and Finalists and Announces COMPLYConnect 2024
News Article | Nov 09, 2023
COMPLY NAMES SEJAL PIETRZAK BOARD CHAIRPERSON
News Article | Oct 11, 2023
COMPLY’S 2023 ULTIMATE GUIDE TO CYBERSECURITY COMPLIANCE OUTLINES PRINCIPLES OF A STRONG CYBER PROGRAM IN A DYNAMIC REGULATORY AND RISK ENVIRONMENT
News Article | Sep 28, 2023
COMPLY Launches Modern COMPLYance Women Initiative for Women in Regulatory Compliance
News Article | Aug 23, 2023
COMPLY RANKED NO. 2,095 ON INC. 5000 LIST OF FASTEST-GROWING COMPANIES
News Article | Aug 15, 2023
2023 COMPLY™ Regulation Rundown Arms Compliance Leaders with a Comprehensive Overview of Dynamic Regulatory Landscape
News Article | Aug 03, 2023
COMPLY and InvestorCOM Expand Partnership for Best Interest Recommendations
News Article | Jul 17, 2023
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