As SEC, FINRA, DOL, and state regulators continue to increase their examination and enforcement activities, you may find yourself the subject of a regulatory proceeding. The result? As part of the settlement, firms are required to engage the services of an Independent Compliance Consultant. Formerly known as NRS Compliance Consultants, the COMPLY experts bring decades of experience navigating complex compliance challenges.
Leverage over 12 decades of compliance expertise with COMPLY’s team of Compliance Consultants. As former CCOs, regulators, and lawyers, our team has the insight and regulatory prowess to deliver an Independent Compliance Consultant engagement for SEC, FINRA, or state matters.
If you find yourself in a situation where an ICC might be needed, you or your attorney should contact us to learn about our experience and approach to these engagements.
“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
“COMPLY’s customer support has major advantages over our previous vendor. For a start, they are quicker to respond, they seem to understand the product better and they understand the industry better.” – Chase Eldredge, Angel Oak Capital Advisors
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.
Our expert compliance consultants understand the challenges you face. Why? Because they’ve been there. As former CCOs and regulators, they know what to look for and how to empower more effective programs. Ready to achieve compliance with confidence?
Download COMPLY’s latest report, which assesses how the evolving regulatory landscape is impacting PE deals and M&A activity.
