For all financial institutions, and especially those with Private Equity and Investment Banking practices, managing the flow of sensitive information is a crucial step in preventing potential instances of market abuse, insider trading, and other conflicts of interest. Manage and mitigate Material Non-public Information (MNPI) risk with an integrated solution designed to improve visibility into potential conflicts at the firm and employee levels.
Track firm and individual activities in a single solution to streamline workflow, identify potential conflicts of interest and market abuse, track “wall crossing”, and centralize reporting with COMPLY’s Control Room.
Connect disparate data sets to create a holistic view of your compliance data and easily identify potential conflicts of interest and evaluate risk across an organization with COMPLY’s Conflict Check.
“Having the Control Room allowed us to integrate everything into ComplySci, which meant it became a ‘one-stop shop’ for all things compliance.” – Iain Colquhoun, Sona Asset Management
“As an investment firm, we have a lot of sensitive information about a variety of companies. At all times, we need to have control over and a view into employees’ personal holdings and trading activities.” – Private Investment Firm
Integrated direct broker feeds from more than 300 brokerage firms and a robust data normalization process provide unrivaled information accuracy and dependability.
Powerful integration capabilities facilitate data connections between our platform and other industry-leading solutions, enhancing communications, increasing efficiency, and providing a seamless customer experience.
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.
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.
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.
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.
Track firm and individual activities in a single solution to streamline workflow, identify potential conflicts of interest and market abuse, and centralize reporting.
Download The Regulatory Compliance Technology Buyer’s Process to learn more about the step-by-step process to procure a new regulatory compliance technology.
