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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Resources
Resource Library
Check out the latest blogs, articles, guides, and more to help you stay a step ahead of the regulatory curve.
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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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illumis
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What’s in the news: the top five compliance articles for Aug. 20 – Sept. 2, 2022
Blog | Sep 04, 2022
Top RIA Compliance News Articles for the Week of August 26th, 2022
Blog | Sep 02, 2022
The SEC’s regulatory agenda for spring 2022: Final rules
Blog | Sep 01, 2022
Five reasons why you need a compliance software that integrates with broker feeds
Blog | Sep 01, 2022
What states have adopted the IAR Continuing Education Requirement?
Blog | Sep 01, 2022
Three steps investment advisers can take to detect and prevent elder financial exploitation
Blog | Aug 31, 2022
And the winner is…the ComplyConnect Conference & Expo compliance awards 2022
Blog | Aug 30, 2022
ComplySci announces exclusive partnership with Apex Clearing Corporation
News Article | Aug 30, 2022
ComplySci® stats: 40% of compliance professionals say they would invest more into cybersecurity solutions given the chance
Blog | Aug 30, 2022
Pay-to-play rules in 2022: five risk areas that your firm cannot afford to overlook
Blog | Aug 29, 2022
Top RIA Compliance News Articles for the Week of August 19th, 2022
Blog | Aug 26, 2022
Nominations are open! Nominate your peers for the ComplyConnect compliance awards
Blog | Aug 25, 2022
2022 RIA in a Box Investment Adviser Compliance Software Innovations
Blog | Aug 25, 2022
Deadline extended for inaugural ComplyConnect Conference & Expo award nominations
News Article | Aug 25, 2022
Top RIA Compliance News Articles for the Week of August 12th, 2022
Blog | Aug 19, 2022
What’s in the news: the top five compliance articles for Aug. 6 – Aug. 19, 2022
Blog | Aug 19, 2022
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