Compliance is complex. Navigating new rules, evolving amendments, and the numerous requirements that come with them can be an uphill battle for even the most sophisticated compliance programs. Luckily, we can help. As your partner in compliance, we provide the critical solutions and resources to bolster your processes and power up your program.
Employees are a critical component of your firm’s growth – working with clients, running behind the scenes operations, and making the day-to-day functional. They can also be one of the most significant points of compliance risk. Mitigate this risk with COMPLY Employee Compliance Solutions.
Monitor and mitigate potential Code of Ethics, Conflict of Interest, or Personal Trading violations with a data-backed solution supported by 300+ direct broker feeds.
LEARN MOREEasily capture, review, and archive your website, social media, email, text, off-channel communications, and any other means of contacting and engaging clients.
LEARN MORETake your training to the next level. Discover the compliance training and resources designed specifically to help your firm navigate regulatory complexities.
LEARN MOREEasily capture relevant employee functions, responsibilities, and certifications through the creation and distribution of digital SMCR forms.
LEARN MORECreate and customize your ADV Part 2B and Form CRS, with a technology-backed solution designed to help you tailor your documents to meet compliance standards.
LEARN MORELeverage real-time data for real-time insight to monitor and manage employee outside business activity and political contributions.
LEARN MOREMonitor Rep activity, run analytical reports, and, most importantly, comply with FINRA Rule 3270 and Supervisory Control Rules…with COMPLY.
LEARN MORECompare alternatives, provide best-interest recommendations, and stay in compliance.
LEARN MOREGet a 360-degree view of your firm’s risk points, with automated solutions designed to help you establish and maintain a comprehensive compliance program which continues to meet regulatory standards even as rules evolve.
Ready to register? Whether you’re registering with the SEC, FINRA, or state jurisdictions, we’ve got the expertise to guide you through the process and get your firm that much closer to serving your clients.
Third parties are a typical component of any firm. However, they do bring with them certain risk and compliance challenges. From cybersecurity to due diligence, COMPLY offers the solutions to support your firm and mitigate third-party compliance risk.
Learn more about our extensive array of solutions and services designed to support your program and enhance your efficacy.