Achieve and maintain regulatory excellence.
With decades of expertise, COMPLY consultants — formerly NRS Consultants — help assess and enhance your compliance program, ensuring it meets the highest regulatory standards.
Our experts, with extensive backgrounds serving as former CCOs, lawyers, and regulators, provide in-depth compliance reviews to align your program with evolving regulations while supporting business needs.
Prepare for the real deal with a live mock SEC exam, covering risk management, trading practices, vendor due diligence, Form ADV disclosure, AML procedures, and more.
Stay ahead of SEC, FINRA, and state regulations. Our compliance review assesses your program, testing it against industry best practices to identify and mitigate risks.
Ensure compliance with FINRA and FinCEN rules. Our audit services include an onsite AML review, critically testing your AML program to fulfill the annual AML audit requirements.
Meet mandatory annual review requirements under SEC and FINRA regulations. We conduct onsite assessments to test policies, procedures, and supervisory controls for compliance and effectiveness.
Wearing two hats, I was very busy doing manual compliance tasks which were not the best use of my time and there were other things I could be doing that would be more beneficial to the firm. I knew the way we were doing things before was never going to scale going forward, considering our aspirations for growth.
With automated workflows, in-depth reporting and secure APIs, you can rest assured we’ve got your compliance program covered, giving you more time to focus on what matters most — your clients and investors.
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Offering a suite of robust solutions to meet your unique compliance needs, COMPLY provides the depth and breadth of compliance solutions to help you navigate complexity with ease.
Your focus is on your clients. Our focus is on your compliance. Deliver an alpha strategy anchored in comprehensive risk assurance, all while maintaining compliance with precision and ease. How? With COMPLY. Backed by the experts across the COMPLY portfolio, you can rest assured we have the details — from Form ADV disclosures to Form 13F and back again — covered.
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Integrated direct broker feeds from more than 300 brokerage firms and a robust data normalization process provide unrivaled information accuracy and dependability.
Powerful integration capabilities facilitate data connections between our platform and other industry-leading solutions, enhancing communications, increasing efficiency, and providing a seamless customer experience.
Decades of regulatory expertise power COMPLY’s premier compliance education programs. With courses designed for CCOs, IARs, and more, COMPLY empowers our clients to elevate their program and their career…raising the standard of regulatory compliance across the industry.
Incorporating direct feedback from COMPLY’s portfolio of firms, we continuously implement the enhancements that matter most to our clients. We go beyond technology to offer a breadth of services and solutions designed to meet our clients’ unique needs and challenges, including digital asset trade monitoring, compliance program management, consulting services, compliance education, and more.
The COMPLY team is comprised of former CCOs, former regulators, and experienced lawyers. We understand the challenges you face because we’ve been there. Our deep bench of industry expertise – which includes expansive knowledge in technology enablement and regulatory compliance protocols and processes – supports more than 7,000 clients.
Let us be an extension of your back office and provide support from our dedicated subject matter experts when you need it most. Customer support is available 24/5.
Assess and test the rigor of your compliance program, addressing potential deficiencies before they become a compliance concern.
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