Ready to See the Power of 360-Degree Compliance Program Management?

Leverage an integrated solution that tracks firm activities alongside employee activities to proactively identify potential conflicts of interest and market abuse. Collect and organize information on firm deals, employee meetings, and MNPI access.

A comprehensive compliance program is multi-faceted, addressing a firm’s core risk points based on business activity and operations. With COMPLY Program Management, you gain access to an all-in-one compliance calendar automatically populated with deadlines and requirements tailored to your firm’s policies and procedures, juridisctional requirements, and more.

Automate the review and testing of your compliance program, identifying, remediating, and documenting your findings for ongoing reference.

Implement your firm’s personal securities trading Policies and Procedures and monitor your employees’ trading activity to prevent and proactively identify potential misuse of material non-public information (MNPI).

Manage and mitigate the impact of compliance breaches with COMPLY’s integrated Case Management solution. Investigate, document, and report on all cases, with a complete audit trail of your findings and remediations.

From Form ADV to Form N-PX, regulatory filings are a recurring requirement which often drains time and resources. The COMPLY team provides experts adept at all filing requirements to ensure you file on time, every time.

Easily build digital certification or attestation forms and events, automating the delivery and reminder process. 

Leverage the combined power of three dynamic offerings — AccountCompare, PeerCompare, and RolloverAnalyzer — to meet and document your fiduciary obligations.