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
Sign up to be the first to hear when registration opens for COMPLYConnect 2025!
Learn more
Services
Compliance
Compliance Review
Compliance Consulting
Regulatory Filings
Administrative Services
Consulting & Support
New Registration
IAR and Representative Registration
Broker-Dealer Registration
SEC and State IA Registration
Education / CRE
IACCP® and IA Core Programs
IAR CE
Comply Desktop Seminars
COMPLYConnect Conference & Expo
3rd-Party Compliance
Counterparty Due Diligence
Cybersecurity and Outsourced IT
Vendor Due Diligence
Resources
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.
Events and Webinars
From upcoming webinars to in-person conferences, check out these must-attend events.
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COMPLY News
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ComplianceGuardian
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illumis
RIA in a Box
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Support
Login
IACCP Resource Center
ComplianceGuardian
Desktop on Demand
ComplySci
illumis
RIA in a Box
SCHEDULE A DEMO
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ComplySci and RIA in a Box Join Forces to Launch the Future of Compliance Software
News Article | Dec 09, 2021
How MyRIACompliance Integrates with CircleBlack
Blog | Dec 07, 2021
Top RIA Compliance News Articles for the Week of November 26th, 2021
Blog | Dec 03, 2021
The RIA Industry’s Guide to 2022 Advisor Conferences
Blog | Dec 02, 2021
Archiving: An Essential Task for RIAs Using Social Media
Blog | Nov 23, 2021
Top RIA Compliance News Articles for the Week of November 12th, 2021
Blog | Nov 19, 2021
ComplySci Acquires illumis, Premier Technology Provider to Financial Services Firms and Aggregator of Political Contribution Data
News Article | Nov 18, 2021
SEC Issues Investment Adviser Risk Alert for Fee Calculations
Blog | Nov 16, 2021
Top RIA Compliance News Articles for the Week of November 5th, 2021
Blog | Nov 12, 2021
ComplySci® Stats: 83% of compliance professionals feel monitoring cryptocurrency is or will soon become a compliance priority
Blog | Nov 12, 2021
Robinhood Announced a Data Security Incident. Now what?
Blog | Nov 12, 2021
SEC Issues RIA Risk Alert for Online Investment Advisers
Blog | Nov 11, 2021
How MyRIACompliance Integrates Independent Advisor Solutions by SEI
Blog | Nov 10, 2021
Cybersecurity Tips for Protecting Your RIA Firm’s Network and Devices
Blog | Nov 09, 2021
Top RIA Compliance News Articles for the Week of October 29th, 2021
Blog | Nov 05, 2021
2021 RIA Technology Survey: Top Financial Planning Software Providers
Blog | Nov 04, 2021
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