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
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Services
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IACCP® and IA Core Programs
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COMPLYConnect Conference & Expo
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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.
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From upcoming webinars to in-person conferences, check out these must-attend events.
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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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The top five compliance challenges your private equity firm will face in 2023
Blog | Jan 12, 2023
The ultimate RIA annual compliance review checklist: Dos and don’ts for 2023
Blog | Jan 11, 2023
Announcement from the Securities and Exchange Commission: SEC Fall 2022 Regulatory Flexibility Agenda
Blog | Jan 11, 2023
Intapp and ComplySci partner to streamline firm and personal conflict clearance operations
News Article | Jan 10, 2023
The ultimate guide to creating (and updating) your RIA policies and procedures manual in 2023
Blog | Jan 09, 2023
COMPLY – Outsourcing by investment advisers: A comment letter on the SEC proposed rule
Blog | Jan 09, 2023
Outsourcing by investment advisers: A comment letter on the SEC proposed rule
Blog | Jan 09, 2023
Top RIA compliance news articles for the week of Dec. 30, 2022
Blog | Jan 06, 2023
What’s in the news: the top five compliance articles for Dec. 24 – Jan. 6, 2023
Blog | Jan 06, 2023
Buyer’s process: selecting and buying new compliance technology for your investment firm
Blog | Jan 05, 2023
The SEC’s focus on Regulation Best Interest (Reg BI) rule puts pressure on investment firms
Blog | Jan 04, 2023
SEC registration for UK financial firms: The difference between the SEC and FCA personal account dealing requirements
Blog | Jan 04, 2023
The top SEC risk alerts from 2022: A recap of findings for RIAs
Blog | Jan 03, 2023
Top 10 best practices for RIA compliance in 2023
Infographic | Jan 03, 2023
Top RIA compliance news articles for the week of Dec. 23, 2022
Blog | Dec 30, 2022
What’s new at ComplySci: A recap of 2022
Blog | Dec 30, 2022
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