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
ComplianceGuardian
Desktop on Demand
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illumis
RIA in a Box
SCHEDULE A DEMO
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COMPLY – SEC Enforces Mutual Fund Share Class Selection Violations by Investment Advisers
Blog | Aug 01, 2022
SEC Enforces Mutual Fund Share Class Selection Violations by Investment Advisers
Blog | Aug 01, 2022
Top RIA Compliance News Articles for the Week of July 22nd, 2022
Blog | Jul 29, 2022
2022 RIA Technology Survey: Top Financial Planning Software Providers
Blog | Jul 28, 2022
Addressing the SEC pay-to-play rule: five overlooked areas that could put your firm at risk
Blog | Jul 28, 2022
ComplySci and illumis co-publish comprehensive guide to navigate pay-to-play regulations for midterm elections
News Article | Jul 27, 2022
What the FCA strategy means for the future of your financial firm’s compliance program
Blog | Jul 26, 2022
Top RIA Compliance News Articles for the Week of July 15th, 2022
Blog | Jul 22, 2022
The broker-dealers guide to Regulation Best Interest (Reg BI)
Blog | Jul 22, 2022
What’s in the news: the top five compliance articles for Jul. 9 – Jul. 22, 2022
Blog | Jul 22, 2022
Everything you need to know about transitioning to a new compliance platform
Blog | Jul 21, 2022
The RIAs Guide to Cybersecurity Incident Response Plans
Blog | Jul 20, 2022
2022 RIA Technology Survey: Redtail and other Top CRM Providers
Blog | Jul 19, 2022
The Ultimate Guide to Pay-to-Play Compliance
Whitepaper | Jul 19, 2022
Six-Step Cybersecurity Incident Response Plan for RIA Firms
Infographic | Jul 19, 2022
The Five C’s of Employee Onboarding for Compliance at Your RIA Firm
Infographic | Jul 19, 2022
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