From Form ADV to Form PF, regulatory filings are a recurring requirement which often drain time and resources. While a necessary component of any compliance program, the process of gathering the necessary information, reporting, and filing is a burdensome one. The good news? We can help.
Grow your regulatory filings team without adding any full-time employees. How? With COMPLY. Our in-house regulatory experts will provide guidance, act as a resource, and ultimately, help you file on time, every time!
“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
“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.
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.
Regulatory filings are a time-consuming, burdensome process. But a necessary one, nonetheless. That’s where we come in. Let our experts help you achieve and maintain compliance, providing regulatory filing support throughout the calendar year.
Download COMPLY’s Annual Firm Registration Renewal infographic for more information on critical filing dates and information.
