“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
Any third-party associated with your firm brings with it a certain level of risk. Be it reputational, cybersecurity, or otherwise. However, such business relationships are critical to the growth and evolution of your firm. As regulatory bodies increase their focus on firms’ protective measures, compliance teams are being tasked with evaluating and mitigating such risk points – ultimately, protecting the firm, its clients, and the market at large.
Whether looking to acquire an investment adviser, make an institutional investment, or establish any kind of relationship with an asset manager, COMPLY can provide greater expertise and resources to conduct due diligence on those third parties. Our compliance experts will undertake an independent and comprehensive review of the manager’s risk management processes, internal controls, and compliance procedures to evaluate whether sound risk management and industry best practices are followed.
“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
“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
Integrated direct broker feeds from more than 300 brokerage firms and a robust data normalization process provide unrivaled information accuracy and dependability.
Don’t let third-party risk outweigh the benefit. Leverage COMPLY’s expertise to help you meet counterparty due diligence compliance requirements with ease.
Download COMPLY’s Ultimate Cybersecurity Guide for insight into the evolving cyber landscape and best practices to help your firm achieve cybersecurity with confidence.
