Counterparty Due Diligence

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.

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Counterparty Due Diligence Reviews

Review. Assess. Test.

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.

Conduct reviews for institutional investors, private equity funds, broker-dealers, endowments, foundations, and pension plans in performing due diligence reviews of asset managers
Assist in identifying any deficiencies in such varied areas as money laundering, personal trading, account reporting and NAV calculations, conflicts of interest, custody of client funds or securities, non-public information and confidentiality, trading and brokerage, and adherence to investment restrictions
Provide a detailed report to assist in making a sound decision regarding a variety of business relationships

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Streamline your due diligence processes with sophisticated resources and solutions.

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Client Testimonials

“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

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.