You manage investments for high-net-worth and ultra-high-net-worth individuals. We manage compliance programs for private fund advisers like you.
Information is constantly flowing through your firm. COMPLY helps you document when material non-public information is shared and wall crossing events occur – ensuring you don’t run the risk of insider trading.
As the SEC, FCA, and other bodies continue to introduce new requirements, like the updates to Form PF, your work becomes more complex. COMPLY's helps you manage and implement new policies and procedures to address evolving regulatory changes.
If your firm covers multiple states, countries, or jurisdictions, then your compliance team is on the hook for potentially double or triple the compliance obligations. COMPLY offers a multi-entity calendar tool to keep your teams on track and in compliance.
Stay out of the headlines by easily performing regular risk assessments to identify, understand, and remedy program delinquencies and employee violations.
Form filings have recently been making the news as the SEC issues fines related to Form 13F and Form PF. Our solutions and services make it easy to understand how and when to file your disclosures.
From Annual Reviews to comprehensive risk assessments, understanding your compliance program strengths and weaknesses is critical to avoiding deficiencies, enforcement, and headline-making fines.
COMPLY's regulatory and technology experts have decades of experience helping private funds navigate the varied and complex regulatory requirements set forth by the SEC and other jurisdictions. And we can help you do the same.
Manage the scope of your compliance program from one integrated solution. With COMPLY Program Management, Private Funds gain access to a bespoke compliance calendar, risk assessment tool, and an annual review guide.
Take the manual out of your annual review with integrated solutions designed to automate and document your annual review and risk assessment processes.
Easily and effectively create automated digital certification forms and events tailored to your Code of Ethics. Missing critical certifications? Flag overdue certifications with intuitive dashboards and reports for automated follow up.
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).
Eliminate offline tracking of potential compliance breaches with case management. Easily create, manage, and report on any policy violations and document investigation activities for these identified events.
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.
From Form ADV to Form PF, 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.
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.
Have a few questions after exploring our solutions and capabilities for Private Funds? Check out some of the most frequently asked questions for all your answers.
Your firm’s regulatory compliance program keeps your firm functional, ensuring you meet regulatory requirements and standards of conduct, mitigating financial, reputational, and regulatory consequences of a compliance violation.
In fact, financial regulatory compliance software can help you:
COMPLY offers compliance solutions built for hedge funds to effectively manage compliance and mitigate risk, including the ComplySci Platform, Control Room and Political Contribution Verification module. Our solutions provide automated program management, workflow and reporting options to ensure you accurately and efficiently help you manage your compliance program.
With tools designed to track and monitor compliance with employee trading, gifts and entertainment, political contributions, outside business activities, and marketing materials, COMPLY helps mitigate risks and identify conflicts of interest. Private equity firms can optimize their compliance programs by using the ComplySci Platform, Control Room, Political Contribution Verification module, and more.
In addition COMPLY offers compliance consulting and continuing education services designed to help keep your firm ahead of the regulatory curve.
The entire COMPLY portfolio of firms offers expansive services which support hedge fund regulatory filings including Form ADV and Form 13F.
ComplySci’s Black Box Firm Trade API allows hedge funds to send firm trade data at the security level to ComplySci via a secure API. ComplySci then analyzes firm trade data against employee trade activity and brokerage accounts and returns the firm trade information which matches employee trade data via secure API. No proprietary data is saved on the ComplySci Platform.
COMPLY’s onboarding team will be there with you every step of the way, working with you to create a plan which addresses your company’s unique needs. During onboarding the team will load data, configure the system to your use case and help set up integrations. The team will also provide guided instruction of broker feed outreach and assist with establishing broker feeds. Onboarding is concluded with supervisor training and assisting your organization go live on the platform.
Typical onboarding takes approximately 6-8 weeks. For larger clients onboarding is scoped to meet your company’s unique needs.
COMPLY provides our customers with the service and support required to meet the exacting demands of the regulatory industry, while embodying the attention to detail you demand of yourself and your team. With 24/5 support and unparalleled in-house expertise, your program is our priority from the moment you begin the onboarding process. That’s our promise to you.
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