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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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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IACCP Resource Center
ComplianceGuardian
Desktop on Demand
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illumis
RIA in a Box
SCHEDULE A DEMO
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Top RIA Compliance News Articles for the Week of May 4, 2018
Blog Article | May 11, 2018
Financial Technology Entrepreneurs Need to Prioritize RIA Compliance
Blog Article | May 09, 2018
The DOL Breaks Its Silence on the Status of Its Fiduciary Rule
Blog Article | May 09, 2018
Top RIA Compliance News Articles for the Week of April 27, 2018
Blog Article | May 04, 2018
SEC Continues to Focus on RIA Share Class Selection and Disclosure
Blog Article | May 04, 2018
SEC Seeks Comment on Potential RIA Financial Responsibility Requirements
Blog Article | May 02, 2018
Top RIA Compliance News Articles for the Week of April 20, 2018
Blog Article | Apr 27, 2018
Here We Go Again! SEC Proposes Yet Another New Standard for Brokers
Blog Article | Apr 27, 2018
SEC Requests Comment on Potential RIA Personnel Licensing and CE Requirements
Blog Article | Apr 23, 2018
Top RIA Compliance News Articles for the Week of April 13, 2018
Blog Article | Apr 20, 2018
COMPLY – SEC Proposed Best Interest Standard and New Disclosures
Blog Article | Apr 20, 2018
SEC Proposed Best Interest Standard and New Disclosures
Blog Article | Apr 20, 2018
SEC proposes new RIA oversight requirements for third-party services
Blog Article | Apr 20, 2018
SEC Proposes a new RIA Form ADV Part 3 Requirement: the Form CRS
Blog Article | Apr 19, 2018
SEC Risk Alert Identifies Most Common RIA Fee Billing Compliance Issues
Blog Article | Apr 17, 2018
Understanding the New FINRA Rule 3290
Blog Article | Apr 16, 2018
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