Administrative Services, Email and Advertising Review

Code of Ethics Administration

Maximize your compliance program and streamline your processes with COMPLY’s Code of Ethics administration. Our team manages initial, quarterly, and annual reporting, personal trade monitoring, list maintenance, and attestations — freeing you from time-consuming administrative work. 

Email Review

Reviewing thousands of emails is tedious — let us handle it. COMPLY experts monitor your firm’s email communications using your existing archiving and surveillance tools, providing detailed reports on potential risks. 

Political Contribution Administration

Mitigate pay-to-play risks by ensuring compliance with SEC, MSRB, FINRA, and CFTC regulations. Our team reviews and reports on political contributions from covered associates, helping your firm navigate complex rules such as:  

• SEC Rule 206(4)-5. 
• MSRB Rule G-37. 
• FINRA Rules 203 & 4580. 
• CFTC Regulation 23.451. 
• State & local pay-to-play regulations 

Licensing and Registration

Regulatory filings are time-consuming. COMPLY’s administrative services team handles amendments for: 

• Form ADV 
• Form BD 
• Form U4 
• Form U5  

All filings are completed via IARD/FINRA, ensuring accuracy and efficiency. 

Advertising Review

SEC Marketing Rule compliance remains a challenge top challenge for firms of all sizes. But it doesn’t have to be a challenge for your firm. 

COMPLY experts review marketing materials to ensure alignment with regulatory requirements, reducing the risk of violations while maximizing your firm’s outreach opportunities. 

Broker Feed Maintenance

Ensure seamless compliance data capture with broker feed maintenance. COMPLY establishes and re-establishes secure electronic brokerage feeds, keeping your compliance system up to date without manual statement collection. 

DIRECT BROKER FEEDS

Integrated direct broker feeds from more than 300 brokerage firms and a robust data normalization process provide unrivaled information accuracy and dependability.

DATA INTEROPERABILITY AND APIs

Powerful integration capabilities facilitate data connections between our platform and other industry-leading solutions, enhancing communications, increasing efficiency, and providing a seamless customer experience.

EDUCATION

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.

SOLUTION AND SERVICE INNOVATION

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.

REGULATORY EXPERTISE

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.

AWARD-WINNING CUSTOMER SERVICE

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.