Policies and Procedures Management

Your Policies and Procedures, Code of Ethics, and Written Supervisory Procedures are the foundation of your firm’s compliance program. And as required by regulatory bodies, they must be specific to your firm’s unique risk profile and business operations. Don’t settle for “off the shelf”. Raise the bar with COMPLY.

Book a Demo
Three colleagues pointing to a laptop
Policies and Procedures/Code of Ethics

Customized Documents to Drive Your Compliance Program.

Create required Policies and Procedures or Code of Ethics using our Policies and Procedures Management solution. Getting started is easy. Complete a profile questionnaire about your firm to generate a Policy and Procedures manual tailored to your firm. The last step? Complete the customization of your manual and proceed with managing your program.

  • Create and maintain policies based on COMPLY model language and regulatory updates
  • Create a customized compliance calendar and compliance task list, which aligns with and is linked to your firm’s policies and procedures
  • Create an archive of each version of the manual
  • Deliver new manual versions to staff and collect attestations of their receipt
LET'S TALK
support-rep-min
Broker-Dealer WSPs

Support Your Broker-Dealer Firm with Customized WSPs.

One of the first steps in your broker-dealer journey after registration? Creating your Written Supervisory Procedures. Leverage COMPLY’s technology-backed solution to automate the process and customize your WSPs to your unique needs and requirements.

  • Create and maintain WSPs based on COMPLY model language and regulatory updates
  • Create a customized compliance calendar and compliance task list, which aligns with and is linked to your firm’s WSPs
  • Create an archive of each version of the procedures
  • Deliver new manual versions to staff and collect attestations of their receipt
LET'S TALK
support-pro-min

The Latest News and Insights from COMPLY

News You Should Know: The Top Five Compliance Articles as of March 28
  • Blog

News You Should Know: The Top Five Compliance Articles as of March 28

Learn more
What Does a Regulatory Compliance Consultant Do?
  • Blog

What Does a Regulatory Compliance Consultant Do?

Learn more
How to Navigate Multi-Jurisdictional Compliance Challenges

How to Navigate Multi-Jurisdictional Compliance Challenges

Learn more

Establish the core of your compliance program, with customized policies and procedures, Code of Ethics, and WSPs which address your unique business practices.

Book a Demo
STRAIGHT FROM THE USERS

Client Testimonials

CFI Partners Logo, light and dark blue

“Wearing two hats, I was very busy doing manual compliance tasks which were not the best use of my time and there were other things I could be doing that would be more beneficial to the firm. I knew the way we were doing things before was never going to scale going forward, considering our aspirations for growth.” – David Becker, CFIP

“The customer service at COMPLY is special. They are all extremely knowledgeable and friendly. I appreciate the team always allows me the opportunity to walk through the product and learn, so I can reduce the times I must reach out again in the future.” – Jackie Jacobs, VSS

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.

Manage Your Policies and Procedures with Confidence

Your Policies and Procedures are the backbone of your compliance program. They must be unique to your firm’s business activities. Understood and followed firm wide. And enforced by your team. We can help.

Book a Demo

WITH CONFIDENCE.

FEATURED
The Benefits of Direct Brokerage Feeds

Download The Benefits of Direct Brokerage Feeds to discover how 300+ direct broker feeds can aid your compliance team in their efforts to build an effective, accurate program.

DOWNLOAD NOW!