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
Sign up to be the first to hear when registration opens for COMPLYConnect 2025!
Learn more
Services
Compliance
Compliance Review
Compliance Consulting
Regulatory Filings
Administrative Services
Consulting & Support
New Registration
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SEC and State IA Registration
Education / CRE
IACCP® and IA Core Programs
IAR CE
Comply Desktop Seminars
COMPLYConnect Conference & Expo
3rd-Party Compliance
Counterparty Due Diligence
Cybersecurity and Outsourced IT
Vendor Due Diligence
Resources
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.
Events and Webinars
From upcoming webinars to in-person conferences, check out these must-attend events.
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illumis
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IACCP Resource Center
ComplianceGuardian
Desktop on Demand
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illumis
RIA in a Box
SCHEDULE A DEMO
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Highlights from day one of ComplyConnect Conference & Expo
News Article | Nov 08, 2022
COMPLYSCI, RIA IN A BOX, NRS AND ILLUMIS TO OPERATE AS COMPLY
News Article | Nov 08, 2022
ComplySci named 2022 ‘Best New Solution Provider’ by Private Equity Wire
News Article | Oct 27, 2022
ComplySci® webinar equips chief compliance officers for regulatory audit
News Article | Sep 21, 2022
ComplyConnect Conference & Expo announces agenda and speakers
News Article | Sep 20, 2022
ComplySci announces exclusive partnership with Apex Clearing Corporation
News Article | Aug 30, 2022
Deadline extended for inaugural ComplyConnect Conference & Expo award nominations
News Article | Aug 25, 2022
ComplySci appears on Inc. 5000 list of fastest-growing private companies
News Article | Aug 16, 2022
ComplySci announces second webinar in series designed for chief compliance officers looking to transition compliance technology solutions
News Article | Aug 11, 2022
RIA in a Box announces LinkedIn compliance partnership
News Article | Aug 09, 2022
ComplySci and illumis co-publish comprehensive guide to navigate pay-to-play regulations for midterm elections
News Article | Jul 27, 2022
Inaugural ComplyConnect Conference & Expo brings together industry experts, examines top compliance and regulatory issues
News Article | Jul 07, 2022
ComplySci 2022 CCO Playbook UK edition analyzes FCA 2022 – 2025 business strategies and provides tactical strategies for UK-based compliance teams
News Article | Jun 30, 2022
IAA and NRS® Investment Adviser Industry Snapshot Confirms Sector Growth of 16.7% Year-Over-year
News Article | Jun 23, 2022
RIA in a Box Launches of Continuing Education Program to Support New North American Securities Administrator Association Continuing Education Rule
News Article | Jun 21, 2022
ComplySci launches webinar series for chief compliance officers and teams evaluating new compliance technology solutions
News Article | Jun 07, 2022
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