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.
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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
Sign up to be the first to hear when registration opens for COMPLYConnect 2025!
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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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illumis
RIA in a Box
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Top RIA Compliance News Articles for the Week of July 8th, 2022
Blog | Jul 15, 2022
ComplySci® stats: 45% of compliance professionals say the SEC cybersecurity rule will impact their firm the most
Blog | Jul 15, 2022
What You Need to Know About the SEC’s Amendments to 13F Filings
Blog | Jul 14, 2022
COMPLY – The NRS® Fall Compliance Conference is now part of the ComplyConnect Conference & Expo: Here’s what you need to know
Blog | Jul 14, 2022
The NRS® Fall Compliance Conference is now part of the ComplyConnect Conference & Expo: Here’s what you need to know
Blog | Jul 14, 2022
Service with a smile: The top five reasons ComplySci® customer service is unmatched
Blog | Jul 13, 2022
2022 RIA Tech Survey: Portfolio Management and Reporting Systems
Blog | Jul 12, 2022
What’s in the news: the top five compliance articles for Jun. 25 – Jul. 8, 2022
Blog | Jul 08, 2022
Top RIA Compliance News Articles for the Week of July 1st, 2022
Blog | Jul 08, 2022
Considerations for the SEC amendment on electronic filing requirements
Blog | Jul 08, 2022
A breakdown of 2021 FCA enforcement actions
Blog | Jul 07, 2022
Inaugural ComplyConnect Conference & Expo brings together industry experts, examines top compliance and regulatory issues
News Article | Jul 07, 2022
How to find and integrate the right financial services compliance software for your firm
Blog | Jul 06, 2022
2022 RIA Survey: Riskalyze Remains at the Top for Risk Tolerance Systems
Blog | Jul 06, 2022
ComplySci® stats: 65% of regulatory compliance departments serve a hybrid workforce
Blog | Jul 05, 2022
Top RIA Compliance News Articles for the Week of Jun. 24, 2022
Blog | Jul 01, 2022
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