Administrative Services, Email and Advertising Review

ComplySci Code of Ethics Administration

COMPLY’s industry experts are here to help you get the most out of your compliance program. With Code of Ethics Administration, our team streamlines the review process of initial, quarterly, and annual reporting. Simplify your certification and attestation management, employee personal trade monitoring administration, list maintenance, and reporting. Ready to start saving time typically spent on burdensome administrative tasks?

Email Review

Don’t spend your valuable time reviewing hundreds or thousands of emails to ensure compliance. Let us handle email review so you can focus on strategic compliance priorities. COMPLY team members leverage your firm’s existing email archiving and surveillance solution to review communications from your firm’s supervised persons and provide detailed reports on any potential issues uncovered.

Ensure email compliance with an evaluation of a sample size of your firm’s supervised persons’ emails and receive reports regarding any potential issues. Our team is versed with all the major tools and will use your existing email/communications capture tool to provide this service.

illumis Political Contribution Administration

Political activism is at an all time high. And with it? Pay-to-play risk. As the number of state and local pay-to-play rules increase, so do the number of stipulations compounding the complexity for firms potentially already struggling with the risk of violation. Ready to ensure compliance with:

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

Mitigate pay-to-play risk. Engage COMPLY experts to review and report on political contributions submissions made by your covered associates.

Licensing and Registration

Filing requires significant time, effort, and resources. Which many firms simply don’t have the ability to take on given current staffing and priorities.

Take the administrative burden out of filing. Our staff will file amendments to:

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

All filings will, as applicable, be filed via IARD/FINRA.

Advertising Review

Despite the fact that the compliance date for the new SEC Marketing Rule was over a year ago, Marketing Rule compliance (and acts of non-compliance) continue to make headlines.

The Rule, which combined Rule 206(4)-1 and Rule 206(4)-3, provides firms with new opportunities to include testimonials and endorsements, however, it also brought new stipulations and requirements.

Marketing and advertising are essential tactics in attracting new clients, however, certain precautions must be followed to ensure your firm does not violate any regulations which restrict certain marketing activities.

Leverage COMPLY experts to evaluate new marketing materials to ensure consistency with regulatory requirements.

Broker Feed Maintenance

With direct brokerage feeds, the broker carrying the account sends electronic data files to your firm’s compliance system directly through a secure connection. Data files include the holdings and transaction activity for all of your firm’s employees’ accounts held at that broker.

But, before a broker feed can send data, the feed must be established. And that’s where we come in.

Stay connected — always. Lean on our staff to establish or re-establish electronic broker data feed connections for all the accounts used by your staff, so everything is captured without the need to collect individual statements.