Communications Archiving and Review

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.

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Communications Archiving and Review

Invest in Automated Archiving.

COMPLY’s solution provides a comprehensive means of capturing customer communications, reviewing the content, and storing the records in a compliant manner.

  • Capture and store digital, client-facing communications from multiple sources, including emails, webpages, and social media platforms including Facebook, LinkedIn, and Twitter
  • Optimize the content approval and review process through automation and auto-flag keywords
  • Minimize regulatory, financial, and legal risk and mitigate operational risk with supervisory capabilities
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Simplify the communications archiving and review process with the all-in-one solution by COMPLY.

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STRAIGHT FROM THE USERS

Client Testimonials

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“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

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“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

Why COMPLY?

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.

Archiving and Review with Confidence

Meet your jurisdictions books and records compliance requirements with a technology-backed solution designed to capture, store,  and archive. With COMPLY.

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WITH CONFIDENCE.

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2024 Annual Review Guide

Download COMPLY’s Annual Review Guide for an analysis of the annual review process, testing protocols, and documentation requirements.

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