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Who We Serve
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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.
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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
Join Us: October 14 – 17
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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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2023 RIA tech survey: Top financial planning software
Blog | Jul 07, 2023
Series 65 Exam Prep: 10 Frequently Asked Questions
Blog | Jul 06, 2023
Investment Adviser Industry Snapshot: Private equity funds in 2023
Blog | Jul 05, 2023
What went wrong: A chief compliance officer (CCO) involved in an alleged insider trading rule (10b5-1) violation
Blog | Jul 03, 2023
COMPLY – Key takeaways from the Investment Adviser Industry Snapshot: A review of regulatory compliance trends in 2023
Blog | Jul 03, 2023
Key takeaways from the Investment Adviser Industry Snapshot: A review of regulatory compliance trends in 2023
Blog | Jul 03, 2023
Juneteenth and Pride Month: a celebration of diversity
Blog | Jun 30, 2023
What’s in the news: the top five compliance articles for June 16 – 30, 2023.
Blog | Jun 30, 2023
Your hedge fund’s guide to managing material non-public information (MNPI) risk
Blog | Jun 29, 2023
What RIA firms need to know about the SEC’s Reg BI Care Obligation
Blog | Jun 29, 2023
2023 RIA Tech Survey: RIA Portfolio Management and Reporting Systems
Blog | Jun 28, 2023
COMPLY – Insider trading in 2023: What firms can learn from a recently announced M&A-related insider trading investigation
Blog | Jun 28, 2023
COMPLY – COMPLYConnect 2023: Why attend and what you can expect at this year’s top regulatory compliance conference
Blog | Jun 28, 2023
Insider trading in 2023: What firms can learn from a recently announced M&A-related insider trading investigation
Blog | Jun 28, 2023
COMPLYConnect 2023: Why attend and what you can expect at this year’s top regulatory compliance conference
Blog | Jun 28, 2023
SECOND-ANNUAL COMPLYCONNECT CONFERENCE PROVIDES AN EDUCATIONAL FORUM FOR REGULATORY COMPLIANCE LEADERS TO ADDRESS EMERGING TRENDS AND RISKS
News Article | Jun 28, 2023
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