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
IAR and Representative Registration
Broker-Dealer Registration
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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Company
About COMPLY
COMPLY News
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ComplianceGuardian
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illumis
RIA in a Box
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Support
Login
IACCP Resource Center
ComplianceGuardian
Desktop on Demand
ComplySci
illumis
RIA in a Box
SCHEDULE A DEMO
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News Article
RIA in a Box Partners with InvestorCOM to Help Advisory Firms Meet the Department of Labor’s PTE 2020-02 Rollover Requirements
News Article | May 25, 2022
ComplySci appoints new chief technology, chief product, and chief legal officers
News Article | May 19, 2022
ComplySci earns bronze Stevie® award, named Fastest Growing Tech Company of the Year
News Article | May 02, 2022
ComplySci® 2022 CCO Playbook provides expert advice, actionable strategies and best practices for tech-enabled compliance programs
News Article | Apr 20, 2022
ComplySci® CEO Amy Kadomatsu wins Women in Technology & Data Awards’ Gender Equality / Diversity Professional of the Year by WatersTechnology
News Article | Mar 08, 2022
ComplySci Announces Shannon Seastead as Chief Marketing Officer and Bill Mahoney as Chief Customer Officer
News Article | Dec 20, 2021
ComplySci and RIA in a Box Join Forces to Launch the Future of Compliance Software
News Article | Dec 09, 2021
ComplySci Acquires illumis, Premier Technology Provider to Financial Services Firms and Aggregator of Political Contribution Data
News Article | Nov 18, 2021
ComplySci Acquires the NRS® company – An Advanced Provider of Compliance and Regulatory Consulting, Education and Technology for Financial Services Companies
News Article | Oct 21, 2021
ComplySci Acquires NRS, an Advanced Provider of Compliance and Regulatory Consulting, Education and Technology for Financial Services Companies
News Article | Oct 21, 2021
ComplySci Appoints David Eisner and Sari Granat to Board of Directors
News Article | Oct 12, 2021
CircleBlack Expands Integration Options by Partnering with RIA in a Box
News Article | Oct 07, 2021
RIA in a Box Launches Virtual Advisor Desktop and Enhanced Cybersecurity Dashboard for RIA Firms
News Article | Sep 15, 2021
ComplySci Appoints Widely-Respected Finance and Accounting Executive Wendy Fraulo As New CFO
News Article | Aug 26, 2021
ComplySci Advances Growth Vision with Addition of Stephen Marsh and Susan Theder to Board of Directors
News Article | Aug 05, 2021
Investment Adviser Industry Defies Pandemic and Grows for 9th Consecutive Year
News Article | Jun 28, 2021
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