We are COMPLY.
For compliance people.

Merging technology, consulting and education, our portfolio of firms empowers clients with the confidence to navigate the ever-changing regulatory environment. Together we serve more than 7,000 clients, including registered investment advisors, private equity firms and hedge funds, all of whom have access to our full suite of industry-leading governance, risk and compliance (GRC) consulting, technology, managed services, analytics and outsourcing solutions.  

The power of our portfolio

Who we serve

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Hedge funds

Your clients rely on you to make wise, high-performance investments. However, navigating the complex SEC and FINRA regulations takes time away from that endeavor. Hedge your bets with a regulatory compliance solution provider known for putting you and your compliance program first.

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Private markets

As a private equity, venture capital or real estate fund manager, your compliance function is of the utmost importance, especially with increased pressure from limited partners. Leverage a compliance partner dedicated to seeing you through even the most complex of compliance challenges.

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Investment advisors

Whether state or SEC-registered, the COMPLY portfolio of firms provides the solutions to meet your unique registered investment advisor compliance needs.

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Tracking and monitoring compliance activities for all of your broker-dealer representatives takes time you simply don't have. Lean into our expertise and let us help you mitigate risk and comply with all SEC and FINRA regulations.

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Investment banks

No matter the size, as an investment bank you are tasked with monitoring and mitigating a multitude of risk points to comply with SEC and local regulations. You don't have to do it alone. Bank on a solution that works, bank on COMPLY.

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Institutional investors

Accurately track and monitor complex compliance risk, including MNPI and employee conflict of interest with customized compliance solutions which incorporate technology, consulting and education.

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Insurance companies

Insure your compliance program with the technology, consulting and education resources which have helped your peers meet applicable regulations and mitigate risk.

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Public companies and service organizations

Your organization relies on positive branding and reputation to attract and retain investors. Leverage the regulatory solutions designed to help turn compliance into an asset which boosts your reputation.

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UK markets

The Financial Conduct Authority's (FCA) strategic outlook focuses on protecting consumer interest and creating healthy market competition. Discover how COMPLY can help you continue to maintain compliance from registration to SM&CR and beyond, even with heightened regulations at play.

Insight, accuracy and compliance - for compliance people.

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firms offering best-in-class compliance technology, consulting and education solutions.
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compliance clients in the financial services industry.
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countries with active users.
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employees worldwide.

Connect with Confidence

September 26, 2023 6 - 9 p.m Eastern | City Winery New York City
Modern COMPLYance Women brings together empowered female compliance professionals from across the financial services market to connect, collaborate and celebrate one another’s success.

Let our customers tell you

COMPLY is for the perfectionists. Merging technology, consulting and education to help you expertly navigate the ever-changing regulatory environment. We’re for striving to be better — always. A partner as dedicated to the details as you. We are COMPLY. For compliance people.