We are COMPLY.
For compliance people.

As the global market leader in regulatory compliance solutions, COMPLY combines the power of regulatory technology, services and education to empower CCOs and compliance professionals to easily navigate the regulatory landscape. Our deep bench of industry expertise supports more than 7,000 clients, including private equity firms, hedge funds, broker-dealers, registered investment advisers and other financial service sector participants. 

We empower CCOs to achieve strategic goals.

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, compliance - for compliance people.

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combined years of experience in the compliance industry.
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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.

COMPLYConnect 2024 Conference & Expo

OCTOBER 21 - 24, 2024
See you next year! Get a front row seat to the latest news and trends shaping compliance, risk and governance in beautiful Austin, Texas.

Let our customers tell you