Your Partner for All Firm and Employee Compliance Needs

COMPLY delivers award-winning software backed by best-in-class services, consulting, education, and support that allow financial services firms - from RIAs and Wealth Managers to Private Funds and Investment Banks to Broker-Dealers - to navigate state or SEC compliance regulations with confidence.

Insight, Accuracy, Compliance - For Compliance Professionals.

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Total RIAs Registered with COMPLY's Support
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Clients in the Financial Services Industry
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Employees Worldwide

Join us at COMPLYConnect 2024!

Get a front-row seat to the latest news and trends shaping compliance, risk, and governance. Register now for COMPLYConnect 2024, taking place Oct. 21 - 24 in beautiful Austin, Texas!

WITH CONFIDENCE.

Featured

Regulatory-Driven M&A: Why New Rules Means New Deals for Financial Firms

Download COMPLY’s latest report, which assesses how the evolving regulatory landscape is impacting PE deals and M&A activity.