“It is easy to see COMPLY has an appetite for growing their knowledge in their industry and improving upon their product, and I am happy and proud to be a partner.” – Michael Isaac, Stadion Money Management
Collecting and maintaining registration and licensing information for registered representatives is vital to the success of compliance programs. From submitting U4/NRF filings to complying with FINRA Rule 3270 and supervisory control rules, we can help you COMPLY with confidence.
Effectively aggregate data and gain insight into the real-time information required to successfully lead your firm’s compliance program and manage your registered representatives.
Stay in alignment with your firm’s compliance program, with automated processes and reminders to ensure you never miss a due date.
“It is easy to see COMPLY has an appetite for growing their knowledge in their industry and improving upon their product, and I am happy and proud to be a partner.” – Michael Isaac, Stadion Money Management
“Moving to ComplySci has allowed us to do more complex surveillance. The customization is incredible. ComplySci is as customizable as you want it to be.” – 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.
Monitor Rep activity, run analytical reports, and, most importantly, comply with FINRA Rule 3270 and Supervisory Control Rules. How? With COMPLY.
Download COMPLY’s Regulation Rundown for more information on the rules and regulations likely to impact firms over the next 12 months.
