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
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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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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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Blog
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Compliance Considerations for RIAs to Keep in Mind When Hiring
Blog | May 04, 2022
A look back: learning from FINRA and SEC enforcement actions in 2021.
Blog | May 03, 2022
SEC Issues Investment Adviser Risk Alert on Material Non-Public Information
Blog | May 03, 2022
Best Practices for Third-Party Vendor Management Compliance
Infographic | May 03, 2022
Compliance Considerations for Growing RIAs
Infographic | May 03, 2022
ComplySci earns bronze Stevie® award, named Fastest Growing Tech Company of the Year
News Article | May 02, 2022
Top RIA Compliance News Articles for the Week of April 22nd, 2022
Blog | Apr 29, 2022
What’s in the news: the top five compliance articles for Apr. 14 – 29 2022
Blog | Apr 29, 2022
How RIAs Can Tackle Cybersecurity in 2022
Blog | Apr 29, 2022
Email Phishing Attack Prevention
Infographic | Apr 27, 2022
How RIA Firms Can Protect Against Social Engineering Cyber Attacks
Infographic | Apr 27, 2022
Comments on SEC Release Nos. IA-5955
Industry Guide | Apr 25, 2022
Top RIA Compliance News Articles for the Week of April 15th, 2022
Blog | Apr 22, 2022
COMPLY – The SEC’s 2022 Examination Priorities and Private Fund Advisers
Blog | Apr 22, 2022
The SEC’s 2022 Examination Priorities and Private Fund Advisers
Blog | Apr 22, 2022
What RIAs Must Know to Comply with the Custody Rule
Blog | Apr 21, 2022
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