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.
Join us at COMPLYConnect 2024
Earn continuing education credits. Stay informed on the most critical compliance topics. Network with industry peers and compliance leaders.
All at COMPLYConnect 2024.
Register now and join us in Austin, TX for the third-annual event taking place October 21-24.
Ready to Register? We're Here to Help.
Leverage our team of registration compliance consultants to guide you through the entire process and work with you to create customized documents and business planning materials to set you up for success.
Over 4,000 firms have relied on our experts to help navigate (the often complex) registration process. Opening a broker-dealer? We've got you covered. Registering with the state or SEC? No problem.
Our team has the insight and the know-how to guide you through the process from start to finish. You focus on the business. We'll focus on the compliance.
Ready to register? Call +1 (866) 343-1278
Advanced Automation: A Private Equity Firm’s Compliance Transformation
The firm needed to move away from manual processes and administrative tasks to allow the compliance team to optimize their compliance program and bring more strategic value to the firm. The compliance department needed a modern platform, which could provide efficiency and support to focus on bigger-scale strategies and goals.
COMPLY not only allowed the company to integrate their compliance processes, building a more robust process, but also moved the entire compliance team and firm away from the manual processes they had, until this point, been reliant upon.
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.
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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.