Compliance Program Management

Our all-in-one compliance calendar automatically populates with deadlines and requirements tailored to your firm’s policies and procedures. Organize your team, view task updates, identify areas of risk, and document your program throughout the year.

• Personalized intelligent content aligned with firm Policies and Procedures continuously updates and populates your calendar
• Compliance experts monitor regulatory changes, update compliance guidelines, and publish best-practice instructions
• Automatic documentation of all completed tasks

With a guided, digital, and documented annual review solution, you can comply with SEC Rule 206(4)-7 under the Advisers Act and Rule 38a-1 under the Company Act, including the recently passed documentation requirement.

• Leverage the Compliance Calendar to execute compliance activities throughout the year
• Breaks down each component of the annual review process into manageable sections
• Upon completion, the data is automatically aggregated, collected, and generated into a professional report available for download in a regulatory exam

Compliance risk and regulatory requirements constantly evolve, placing increased pressure on compliance programs to expect the unexpected, proactively addressing risks before they pose a threat to the firm. Be exam ready when it counts with an easily generated report from COMPLY’s Risk Assessment Tool.

• Evaluate risk at your firm with a step-by-step series of risk items and rate each on a low, medium, or high scale
• Assess whether adequate controls are in place to manage or mitigate such risks
• Document modifications to the firm’s policies and procedures to address newly identified risks
• Easily generate a comprehensive report so you’re always prepared