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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illumis
RIA in a Box
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Blog
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Whitepaper
Regulatory compliance trends: insight from ComplySci’s Customer Summit
Blog | Jul 01, 2022
2022 RIA Study: RIAs Favor Active Portfolio Management Styles
Blog | Jun 30, 2022
ComplySci 2022 CCO Playbook UK edition analyzes FCA 2022 – 2025 business strategies and provides tactical strategies for UK-based compliance teams
News Article | Jun 30, 2022
2022 CCO Playbook UK Edition
Whitepaper | Jun 29, 2022
Navigating Cryptocurrency for RIAs
Blog | Jun 28, 2022
Top RIA Compliance News Articles for the Week of June 17th, 2022
Blog | Jun 24, 2022
What’s in the news: the top five compliance articles for Jun. 11 – 24, 2022
Blog | Jun 24, 2022
COMPLY – Investment Adviser Industry Snapshot 2022 – Evolution Revolution Reimagined
Whitepaper | Jun 23, 2022
Investment Adviser Industry Snapshot 2022 – Evolution Revolution Reimagined
Whitepaper | Jun 23, 2022
IAA and NRS® Investment Adviser Industry Snapshot Confirms Sector Growth of 16.7% Year-Over-year
News Article | Jun 23, 2022
RIA in a Box Announces New IAR Continuing Education Program
Blog | Jun 22, 2022
Making it mobile: employee trade monitoring on the go
Blog | Jun 21, 2022
RIA in a Box Launches of Continuing Education Program to Support New North American Securities Administrator Association Continuing Education Rule
News Article | Jun 21, 2022
Top RIA Compliance News Articles for the Week of June 10th, 2022
Blog | Jun 17, 2022
The Importance of a Registered Investment Adviser’s Chief Compliance Officer
Blog | Jun 16, 2022
ComplySci® stats: 84% of respondents report an increase in CCO liability in accordance with FINRA rule 3110
Blog | Jun 15, 2022
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