Counterparty Due Diligence

Mitigate risk and strengthen business relationships with expert due diligence. 

While third-party relationships are essential for growth, they can introduce increased risks — reputational, cybersecurity, and regulatory. With increased scrutiny from regulators, firms must assess and manage these risks effectively. 

Two colleagues looking at documents together
Counterparty Due Diligence Reviews

Review. Assess. Test.

Whether acquiring an investment adviser, making an institutional investment, or partnering with an asset manager, COMPLY’s counterparty manager services provide expert due diligence. Our compliance professionals conduct independent, in-depth assessments of risk management, internal controls, and compliance procedures to ensure alignment with industry best practices. 

With COMPLY, you can: 

âś” Conduct due diligence for institutional investors, private equity funds, broker-dealers, and pension plans 

âś” Identify deficiencies in key areas like money laundering, personal trading, and investment restrictions 

âś” Receive a comprehensive report to inform sound business decisions 

LET'S TALK
vendor-review-min (1)

The Latest News and Insights from COMPLY

Streamline your due diligence processes with sophisticated resources and solutions.

STRAIGHT FROM THE USERS

Client Testimonials

CFI Partners Logo, light and dark blue

“I love that the company has created a culture that solicits feedback to continually evolve the product to fit the customers’ needs. The support team is incredibly knowledgeable, and it shows!” – David Becker, CFIP

SONA Asset Management Logo, green color

“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

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.

Counterparty Due Diligence with Confidence

Don’t let third-party risk outweigh the benefit. Leverage COMPLY’s expertise to help you meet counterparty due diligence compliance requirements with ease.