While you’re growing your firm and delivering value to clients, you also have to navigate the complex ecosystem of SEC and State regulations. Now, you don’t have to do it alone. Leverage the industry’s leading compliance software and services configured to meet your specific needs as an RIA.
The scope of regulatory requirements is only increasing. Leaving many firms facing the often insurmountable task of reviewing, interpreting, and implementing the appropriate compliance changes to meet new requirements.
The Care Obligations outlined in the Investment Advisers Act of 1940 are foundational to your work with clients, and your ongoing compliance.
From Form ADV to Form D, identifying, tracking, managing, and completing the necessary forms and updates is often one of the most common deficiencies for RIAs.
While compliance is your top priority, for the IARs within your firm, it may not be. However, when it comes to CE requirements, failing to complete the 12 credits could mean a loss of license and business.
Regular assessment, review, and testing of your compliance program isn't just mandated by the SEC, it is a best practice to proactively identify potential gaps before they become deficiencies.
As the CCO, not only are you responsible for setting the standard of compliance, you must also track and monitor all employees trades, OBAs, gifts, entertainment, political contributions, and more.
Making the decision to start your own firm is a huge commitment, the process to register that firm and ensure your compliance program is adequately implemented from day 1 is even bigger.
COMPLY's regulatory and technology experts have decades of experience helping RIA firms navigate the varied and complex regulatory requirements set forth by the SEC and state. And we can help you do the same.
A comprehensive compliance program is multi-faceted, addressing a firm’s core risk points based on business activity and operations. The answer to managing the daily details? Automation.
Our team of registration experts have helped thousands of RIAs register their firm. We’ll take care of the regulatory process, so you can focus on establishing and growing your business.
Leverage this centralized, comprehensive solution for managing end-to-end compliance with fiduciary duty of care obligations. Three solutions make up this dynamic offering: AccountCompare, PeerCompare, and RolloverAnalyzer.
Grow your regulatory filings team without adding any full-time employees. Our in-house regulatory experts will provide guidance, act as a resource, and ultimately, help you file on time, every time.
Automate the review and testing of your compliance program, identifying, remediating, and documenting your findings for ongoing reference.
Whether you need IAR CE for a team of 200 or a team of just you, COMPLY has high-quality and accessible courses that fulfill the IAR continuing education requirements.
Generate, implement, and maintain comprehensive Policies and Procedures tailored specifically to your firm’s risk profile and business operations. Align this critical documentation with day-to-day monitoring of employee trades, outside business activities, and more.
The customer service at COMPLY is special. They are all extremely knowledgeable and friendly. I appreciate the team always allows me the opportunity to walk through the product and learn, so I can reduce the times I must reach out again in the future.
Have a few questions after exploring our solutions and capabilities for RIAs and Wealth Managers? Check out some of the most frequently asked questions for all your answers.
COMPLY offers various solutions for investment advisers to streamline their compliance tasks and efficiently meet the Securities and Exchange Commission’s (SEC) requirements. Learn more about our investment adviser compliance solutions, including the ComplySci Platform and Control Room.
Yes, COMPLY offers various RIA firm-specific software and services, including RIA registration, compliance support, employee supervision, and cybersecurity.
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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Yes, the restricted securities list is fully customizable for firms which implement a trade pre-clearance program. When implemented, each access person submits a trade request, which is then automatically approved or held for approval based on the firm’s settings. In addition, any security purchased or sold by an access person that is listed on the firm’s restricted security list is flagged by the system for further review. All historical restricted securities are archived.
Yes, the tool is designed to help meet the SEC’s Rule 204A-1 (Code of Ethics Rule) requirements as it relates to personal securities trading. The Code of Ethics rule requires all access persons of an RIA firm to submit securities holdings and transaction reports to the firm’s chief compliance officer (CCO) or other designated person(s). The system automatically creates holdings and transactions reports, which are then reviewed and attested to by the firm’s access persons prior to submission.
Yes, the solution can be customized to your firm’s unique needs through connection sourcing and by pairing it with the RIA in a Box platform.
