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
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COMPLY News
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illumis
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IACCP Resource Center
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Desktop on Demand
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illumis
RIA in a Box
SCHEDULE A DEMO
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News Article
Betterment for Advisors, RIA in a Box, RightCapital, and Wealthbox Come Together to Launch RIA Tech Suite
News Article | Jun 22, 2021
ComplySci Announces $120 Million Growth Investment from K1 Investment Management
News Article | Jun 10, 2021
RIA in a Box Announces New Automated RIA Communications Archiving and Review Solution
News Article | Jun 03, 2021
ComplySci Wins Best Regulatory & Compliance Adviser at the Institutional Asset Manager Awards
News Article | May 28, 2021
ComplySci Honored with Silver and Bronze Stevie® Awards in the 2021 American Business Awards®
News Article | May 07, 2021
RIA in a Box Announces Strategic Acquisition of Leading Cloud-based Virtual Desktop Provider, Itegria
News Article | May 05, 2021
ComplySci Names Amy Kadomatsu CEO, Announces Executive Promotions and New Chief Sales Officer Hire
News Article | Jan 14, 2021
Investment Adviser Industry Saw Records in 2019, According to New Evolution Revolution Report
News Article | Nov 10, 2020
RIA in a Box Launches Compliance Software for Private Funds
News Article | Sep 30, 2020
RIA in a Box® Mobile App Launches, Giving RIAs Access to Compliance Tools Anywhere, Anytime
News Article | Jul 21, 2020
RIA in a Box Launches Cybersecurity Insurance Offering to Provide RIAs Access to Industry Leading Coverage
News Article | Jul 16, 2020
RIA in a Box Joins with Morningstar, Redtail, and Riskalyze to Provide New RIAs Free Access to Top Industry Technologies Upon Registration
News Article | Jun 02, 2020
RIA in a Box Announces New Form CRS Tool as Part of MyRIACompliance® Platform
News Article | Apr 08, 2020
ComplySci® UK Managing Director to Speak at TSAM London Conference
News Article | Mar 05, 2020
RIA in a Box Launches Open API for MyRIACompliance at T3 Advisor Conference
News Article | Feb 18, 2020
RegTech Leader ComplySci Expands Global Presence with New London Office
News Article | Dec 17, 2019
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