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.
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.
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.
Whether state or SEC-registered, the COMPLY portfolio of firms provides the solutions to meet your unique registered investment advisor compliance needs.
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.
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.
Accurately track and monitor complex compliance risk, including MNPI and employee conflict of interest with customized compliance solutions which incorporate technology, consulting and education.
Insure your compliance program with the technology, consulting and education resources which have helped your peers meet applicable regulations and mitigate risk.
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.
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.
“Moving to ComplySci has allowed us to do more complex surveillance. The customization is incredible. ComplySci is as customizable as you want it to be."
"With a one-size-fits-all platform, we discovered our vendor was not willing or able to customize for the needs of individual companies.
We feel the ComplySci dashboard is really our dashboard. We don’t feel like it is the same for everyone, but rather it is tailored to us."
"You are seeing more private equity firms embrace the release of thought pieces and are leveraging social media to expand brand presence. As we thought about how we want to build on the presence we already have, we needed a solution to keep track of what is being approved for publication."
"I can pull reports quickly whenever I need them. For example, one time I needed to report to our firm’s risk committee, and I wanted to indicate how many trades we’re preclearing, the accounts we have and the marketing items we’ve reviewed. I was able to generate all that data in ComplySci and easily share the results."
"The customer service at ComplySci 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.
I now have time to dedicate to firm projects I’ve always thought about, yet haven’t had time for in the past."