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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.
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The comprehensive solution to meet your complex compliance requirements.
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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
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Continue your regulatory education and certification requirements with our live and on-demand courses.
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illumis
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Blog
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Navigating the SEC’s whistleblower program: Best practices for investment firms
Blog | Sep 15, 2023
What’s in the news: The top five compliance articles for September 1-15, 2023
Blog | Sep 15, 2023
The SEC’s new marketing rule: Updates and the first enforcement action
Blog | Sep 14, 2023
ComplySci® stats: 58% of advisory firms have conducted a compliance risk assessment in the last six months
Blog | Sep 12, 2023
What’s in the news: The top five compliance articles for August 25 – September 8, 2023
Blog | Sep 08, 2023
Into The Chair: Tales from Chief Compliance Officers: The Journey of Maria D’Avanzo
Blog | Sep 07, 2023
The Countdown to COMPLYConnect 2023
Blog | Sep 06, 2023
Detecting insider trading violations: A review of firm’s processes
Blog | Sep 05, 2023
What’s in the news: The top five compliance articles for August 18 – September 1, 2023
Blog | Sep 01, 2023
ESG updates: What investment firms need to know
Blog | Aug 30, 2023
Six cybersecurity regulatory compliance tips for broker-dealers
Blog | Aug 28, 2023
How can you complete your 2023 IAR CE credit requirements by the end of the year?
Blog | Aug 28, 2023
Navigating personal account dealing risk: A best practises guide for UK-based financial firms
Blog | Aug 25, 2023
What’s in the news: The top five compliance articles for August 11 – 25, 2023
Blog | Aug 25, 2023
Enhancing best interest recommendations: Evidencing solutions
Blog | Aug 24, 2023
RIAs: Don’t Ignore the New Private Fund Reforms Rule
Blog | Aug 24, 2023
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