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Schedule a demo to see how COMPLY’s best-in-class software, services, consulting, education, and support can solve your regulatory challenges.
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.
Whether you are an RIA, Private Fund, Investment Bank, Broker Dealer or establishing a new firm, COMPLY is the only compliance partner you need.
While you may be focused on building out your brand, determining your business operations, and establishing your client base, you can’t underestimate the time and resources it will take to establish and maintain a comprehensive compliance program. That’s where we can help.
While you may be focused on building out your brand, determining your business operations, and establishing your client base, you can’t underestimate the time and resources it will take to establish and maintain a comprehensive compliance program. That’s where we can help.
Establish your Policies and Procedures and Code of Ethics, manage your compliance program with an intelligent compliance calendar, and easily perform annual reviews and risk assessments using COMPLY for Private Funds.
Create, document, automate, and enforce your Policies and Procedures, Code of Ethics, employee trade monitoring, certifications, and compliance calendar using COMPLY for Wealth Managers and RIAs.
Easily manage employee supervision – including licensing, registrations, brochures, and Written Supervisory Procedures – and demonstrate, disclose, and document your best interest recommendations, using COMPLY for Broker-Dealers.
Whether required to register with the SEC or State, COMPLY has the expertise to guide you through the entire registration process
Filings Include:
Integrated direct broker feeds from more than 300 brokerage firms and a robust data normalization process provide unrivaled information accuracy and dependability.
Schedule a demo to see how COMPLY’s best-in-class software, services, consulting, education, and support can solve your regulatory challenges.
Download COMPLY’s latest report, which assesses how the evolving regulatory landscape is impacting PE deals and M&A activity.