On Mar. 15, 2023, COMPLY announced three strategic points of integration between RIA in a Box’s MyRIACompliance and the Advyzon platform: 13F Filing, Compliance Calendar and Employee Trade Monitoring.
Prior to the integration, firms were tasked with relaying data points between the two platforms in order to complete key compliance tasks. Now, users of both platforms are able to take advantage of:
- 13F Form Filing: Automatically populates firm holdings and files a firm’s 13F Form, eliminating manual intervention.
- Compliance Calendar: Complete required regulatory compliance tasks without leaving the Advyzon platform, removing the need to manage multiple calendars and enhancing a firm’s culture of compliance.
- Trade Monitoring: Automatically populates client transactions from Advyzon into the same view as employee transactions for comparison and auto-flagging of any potential employee trading violations.
As COMPLY Chief Product Officer stated in the press release, “Before this partnership, our mutual clients had to employ manual processes to apply the full value of their Advyzon-housed data towards the 13F Filing and Trade Monitoring processes offered through COMPLY. By bringing to market these critical integrations, one of which is a first of its kind for both COMPLY and Advyzon, we empower firms to increase automation and focus their energy on higher value tasks.”
As a portfolio of solutions, COMPLY has committed itself to addressing the core challenges of compliance professionals, applying automation to create elevated compliance programs within the financial advisory and wealth management space.
Ready to learn more about the MyRIACompliance platform and how such key integrations can empower your team to tackle the day-to-day and big-picture compliance needs of your registered investment advisory firm? Schedule a demo today!