SOLUTIONS
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Solutions
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Employee Compliance
Brochure/Disclosure Management and Distribution
Create and customize your brochures and disclosures, with a technology-backed solution designed to help you tailor your documents to meet compliance standards.
Code of Ethics, Conflicts of Interest, and Personal Trading
Monitor and mitigate potential Code of Ethics, Conflict of Interest, or Personal Trading violations with a data-backed solution supported by 300+ direct broker feeds.
Communications Archiving and Review
Easily capture, review, and archive your website, social media, email, text, off-channel communications, and any other means of contacting and engaging clients.
IAR CE, AML & Other Training
Take your training to the next level. Discover the compliance training and resources designed specifically to help your firm navigate regulatory complexities.
Political Contributions and OBA Monitoring
Leverage real-time data for real-time insight to monitor and manage employee outside business activity and political contributions.
COMPLY Fiduciary Suite
Compare alternatives, provide best-interest recommendations and stay in compliance.
Registration and Licensing Tracking
Monitor Rep activity, run analytical reports, and, most importantly, comply with FINRA Rule 3270 and Supervisory Control Rules…with COMPLY.
The FCA’s Senior Managers and Certification Regime – SMCR
Easily capture relevant employee functions and responsibilities through the creation and distribution of digital SMCR forms.
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Firm Compliance
Annual Review and Risk Assessment Tools
Keep your program at the top of its game with automated annual review and risk assessment processes.
CCO Education
Achieve your designation and stay ahead of the regulatory curve with educational resources covering the latest compliance topics.
Compliance Program Management
Elevate your compliance program management with an integrated solution designed by compliance experts for compliance professionals.
Control Room
Manage and mitigate MNPI risk with an integrated solution designed to improve visibility into potential conflicts at the firm and employee levels.
Independent Compliance Consultant
Trusted expertise to empower your compliance program. Leverage decades of regulatory knowledge to keep your program one step ahead.
RIA and Broker-Dealer Registration
Our Registration Team has helped thousands of firms with initial registration and ongoing support. We focus on the registration details, so you can focus on starting your firm.
Mock SEC Audits and Other Compliance Reviews
Identify compliance risks before they become deficiencies with COMPLY’s Mock Audits and Compliance Reviews
Policies and Procedures Management
Leverage the support of technology-enabled solution designed to help you make your policies and procedures as unique as your firm.
Regulatory Filings
Ensure proper filings on time, every time, with the support of COMPLY’s regulatory filings team.
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New Registration
Investment Adviser Registration
Work directly with industry experts and former regulators to guide you through the RIA registration process.
Broker-Dealer Registration
Ready to become a broker-dealer? One of the first steps: Registering with FINRA. Lean on our expertise to help you check registration of your to-do list.
Third-Party Compliance
Counterparty Due Diligence
Don’t let third-party risk outweigh the benefit. Leverage COMPLY’s expertise to help you meet counterparty due diligence compliance requirements with ease.
Cybersecurity & Outsourced IT
Sophisticated cyber-attack vectors pose significant threat. Arm your firm with a cybersecurity and outsourced IT solution that’s up to the challenge.
Vendor Due Diligence
With COMPLY as your partner, you can continue to utilize vendors for efficiency without sacrificing security.
PRODUCTS
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Products
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ComplySci
A comprehensive compliance solution to match your complex regulatory burdens.
RIA in a Box
Manage complex regulatory tasks with the compliance solution designed by RIA compliance experts for RIA compliance professionals.
illumis
Unlock the power of your data. The illumis Platform, the leading public data monitoring platform, enhances transparency, reduces risk, and supports ongoing compliance.
ComplianceGuardian
Designed to be the backbone of your firm’s compliance infrastructure, ComplianceGuardian is your best resource to guard against compliance risk.
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SERVICES
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Services
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Compliance Review Services
Gain compliance clarity. With our decades of combined expertise, COMPLY consultants can help audit and assess your compliance program to help you achieve and maintain the highest standard of regulatory compliance.
Compliance Consulting
Is your compliance program ready to meet the demands of today’s regulatory landscape? Leverage COMPLY’s consulting services to assess, test and improve your compliance confidence.
Registrations
From Form PF to Form 13F, your regulatory files are paramount to maintaining your regulatory standing. Enhance efficiency. Ensure effectiveness. With filings backed by COMPLY experts.
SEC and State IA Registration
Whether SEC or State, we have the expertise to guide you through the entire registration process – and get your firm set up for success.
Broker-Dealer Service
Navigate the complex FINRA registration process with a trusted resource at your side every step of the way.
IAR and Representative Registration
Register your reps, track their requirements, maintain compliance. With the support of COMPLY’s team of experts.
Regulatory Filings
From Form PF to Form 13F, your regulatory files are paramount to maintaining your regulatory standing.
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Education
Enhance your education with courses designed by compliance experts for compliance experts.
IACCP and IA Core Programs
Co-sponsored by the Investment Adviser Association, COMPLY’s core education programs provide you with the comprehensive knowledge to help your firm build a strong compliance program with industry-recognized best practices.
COMPLYConnect Conference & Expo
With COMPLY as your partner, you can continue to utilize vendors for efficiency without sacrificing security.
Comply Desktop Seminars
Education to advance your career without overburdening your calendar. Introducing the on-demand education program designed to work with your busy schedule.
IAR CE
Expand your knowledge, grow your skills and fulfill your investment adviser representative (IAE) continuing education requirements.
Administrative Services, Email and Advertising Review
Your regulatory compliance program backed by our industry-leading expertise. Let us help you navigate the complex regulatory landscape with our robust managed services offerings.
On-Going Compliance Support Services
Expand your team with leading experts in the regulatory compliance space. Our compliance consultants are your go-to resource to achieve and maintain compliance with confidence.
CUSTOMERS
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Customers
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Who We Serve
Broker-Dealers
Whether you manage 5 or 5,000+ registered representatives, we know how burdensome manual processes can be, taking your team’s time, energy, and focus. Not anymore – say hello to automation with accuracy!
Hedge Funds
Our advanced hedge fund compliance software helps alleviate the administrative burden and provides solutions for financial risk management.
Institutional Investors
The world of institutional investments is complex and includes a regulatory environment, which can be difficult to navigate on your own. That’s where we can help.
Insurance Companies
Our insurance compliance solutions are specifically designed to reduce risk, maintain customers’ trust and drive efficiency.
Investment Advisers
Our investment adviser solutions empower investment advisers to stay ahead of compliance risks, helping to gain and maintain client trust with thorough due diligence and regulatory monitoring.
Investment Banks
Our compliance offerings provide the same safety and security investments banks have always prided themselves on.
Private Equity
Implement, monitor and track all aspects of your compliance program to ensure your compliance program is an asset, not a liability.
Private Markets
Unlock your data and gain a comprehensive view into employee trading, political contributions, outside business affiliations, marketing materials, initial public offerings, and more.
UK Markets
Meet heightened FCA compliance requirements, protect your reputation and grow client trust with customized process and workflows, and data insight.
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Customer Service
Product Support
We’re here to provide you with the service and support required to meet the exacting demands of the regulatory industry. With 24/5 support and unparalleled in-house expertise, your program is our priority. That’s our promise to you.
RESOURCES
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Resources
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Resource Library
See the latest thought leadership, best practices and news to get ahead of the curve.
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Online Courses
Continue your regulatory education and certification requirements with our live and on-demand courses.
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Events and Webinars
Insights and best practices from compliance experts.
COMPANY
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About COMPLY
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About COMPLY
The COMPLY brand is made up of hundreds of uniquely talented and driven individuals, who come to work every day with one goal: solving our clients’ core challenges.
COMPLY News
Events & Webinars
Awards
Careers
Contact Us
Get in touch! You’ve got questions. We’ve got answers. Drop us note, send us a message, give us a ring.
Leadership
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IACCP Resource Center
ComplianceGuardian
Desktop on Demand
ComplySci
illumis
RIA in a Box
LET’S TALK
Solutions
Employee Compliance
Brochure/Disclosure Management and Distribution
Code of Ethics, Conflicts of Interest, and Personal Trading
Communications Archiving and Review
IAR CE, AML & Other Training
Political Contributions and OBA Monitoring
COMPLY Fiduciary Suite
Registration and Licensing Tracking
The FCA’s Senior Managers and Certification Regime – SMCR
Firm Compliance
Annual Review and Risk Assessment Tools
CCO Education
Compliance Program Management
Control Room
Independent Compliance Consultant
RIA and Broker-Dealer Registration
Mock SEC Audits and Other Compliance Reviews
Policies and Procedures Management
Regulatory Filings
New Registration
Broker-Dealer Registration
Investment Adviser Registration
Third-Party Compliance
Cybersecurity & Outsourced IT
Vendor Due Diligence
Counterparty Due Diligence
Products
ComplySci
RIA in a Box
illumis
ComplianceGuardian
Services
Compliance Review Services
Compliance Consulting
Registration Services
SEC and State Investment Adviser Registration
FINRA Broker-Dealer Membership Service
IAR and Representative Registration
Regulatory Filings
Education Services
IACCP Designation
COMPLYConnect Conference & Expo
IAR Continuing Education
Desktop-on-Demand Seminars
On-Going Compliance Support Services
Administrative Services, Email and Advertising Review
Customers
Broker-Dealers
Hedge Funds
Institutional Investors
Insurance Companies
Investment Advisers
Investment Banks
Private Equity
Private Markets
UK Markets
Resources
Resource Library
Online Course
Events and Webinars
About COMPLY
About COMPLY
COMPLY News
Awards
Careers
Contact Us
Leadership
LET’S TALK
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Blog Article
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Top RIA Compliance Deficiencies: Financial Planning
Blog Article | Jan 10, 2015
SEC 3rd party RIA compliance exams or a shift to state regulation?
Blog Article | Jan 08, 2015
A Guide to Portfolio Management and Reporting Software for RIA Firms
Blog Article | Jan 06, 2015
Top RIA Compliance Deficiencies: Performance Advertising
Blog Article | Jan 03, 2015
Top RIA Compliance Deficiencies: Firms Paying Solicitors for Referrals
Blog Article | Dec 29, 2014
Top RIA Compliance Deficiencies: Firms Acting as a Solicitor Firm
Blog Article | Dec 22, 2014
Whats Behind the Rise of Twitter for Financial Services
Blog Article | Dec 18, 2014
Top 10 tips to help you prepare for your RIA Regulatory Exam Checklist
Infographic | Dec 16, 2014
Top RIA Compliance Deficiencies: Unethical Practices
Blog Article | Dec 15, 2014
Top RIA Compliance Deficiencies: Pooled Investment Vehicles
Blog Article | Dec 08, 2014
Top RIA Compliance Deficiencies: Investment Activities
Blog Article | Dec 01, 2014
SEC Enforcement Actions Up in 2014
Blog Article | Nov 25, 2014
The Top 50 Most Commonly Used Words in RIA Firm Names
Blog Article | Nov 25, 2014
Recap of IA Watch Interview with Drew Bowden of the SEC OCIE – Part 1
Blog Article | Nov 22, 2014
5 Information Governance Practices for Electronic Communications
Blog Article | Nov 20, 2014
Top RIA Compliance Deficiencies: Financials
Blog Article | Nov 16, 2014
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