“Having everything in one place is ideal and I think it’s quicker to have everything online too. Data is backed up and secure, and the cross-functionality is incredibly useful.” – Iain Colquhoun, Sona Asset Management
According to SEC Rule 204-2 of the Investment Advisers Act of 1940, every SEC-registered investment adviser is required to keep true, accurate, and current books and records about its business activities. Included in the long list of required records are certain written communications – which means your website, social media, email, text, other off-channel communications, and any other means of contacting and engaging clients must be captured and archived in a manner prescribed in the rule.
COMPLY’s solution provides a comprehensive means of capturing customer communications, reviewing the content, and storing the records in a compliant manner.
“Having everything in one place is ideal and I think it’s quicker to have everything online too. Data is backed up and secure, and the cross-functionality is incredibly useful.” – Iain Colquhoun, Sona Asset Management
“COMPLY’s customer support has major advantages over our previous vendor. For a start, they are quicker to respond, they seem to understand the product better and they understand the industry better.” – Chase Eldredge, Angel Oak Capital Advisors
Integrated direct broker feeds from more than 300 brokerage firms and a robust data normalization process provide unrivaled information accuracy and dependability.
Meet your jurisdictions books and records compliance requirements with a technology-backed solution designed to capture, store, and archive. With COMPLY.
Download COMPLY’s Annual Review Guide for an analysis of the annual review process, testing protocols, and documentation requirements.
