COMPLY Fiduciary Suite is a centralized, comprehensive solution for managing end-to-end compliance with fiduciary duty of care obligations and best interest requirements. Advisors and brokers use COMPLY Fiduciary Suite to disclose the basis for investment account recommendations and comply with regulatory requirements from the SEC’s Investment Advisers Act of 1940, Reg BI, and the Department of Labor (DOL) PTE 2020-02 rule and amendments. Three solutions make up this dynamic offering: AccountCompare, PeerCompare, and RolloverAnalyzer.
COMPLY Fiduciary Suite’s AccountCompare simplifies advisor due diligence and Reg BI compliance with a step-by-step process to compare account type recommendations.
With COMPLY Fiduciary Suite’s PeerCompare, demonstrate that you are acting in their client’s best interest with an investment product peer group analysis
Eliminate manual processes around rollovers with COMPLY Fiduciary Suite’s RolloverAnalyzer, a digital tool designed to enable compliance with the DOL’s PTE 2020-02 rule and amendments.
“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
“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
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.
You put your customers first. We put you first. Comply with the SEC’s Investment Advisers Act of 1940, Reg BI, the Department of Labor (DOL) PTE 2020-02 rule, empowered by a technology partner committed to helping you achieve and maintain compliance.
Download COMPLY’s Regulation Rundown for more information on the rules and regulations likely to impact firms over the next 12 months.
