Who We Serve
Who We Serve
Private Funds
From MNPI to conflicts of interest and beyond. We help you manage the full scope of your compliance program.
Wealth Management & RIAs
It’s time to make compliance manageable. Meet the one-stop-shop for all your compliance needs.
Broker-Dealers
Don’t let regulatory burdens overun your broker-dealer firm. Manage compliance with ease. How? With COMPLY.
Investment Banks
Invest in the only compliance solution able to provide a full 360-degree view of risk. Invest in a scalable, configurable solution designed to meet your needs.
Products
COMPLY Product Suite
OneCOMPLY (formerly ComplySci)
The comprehensive solution to meet your complex compliance requirements.
RIA in a Box
Manage the full scope of your compliance program from one platform.
illumis
Real-time political contribution monitoring and intelligence to ensure pay-to-play compliance.
COMPLY for Businesses
Private Funds
From MNPI to conflicts of interest and beyond. We help you manage the full scope of your compliance program.
Wealth Management & RIAs
It’s time to make compliance manageable. Meet the one-stop-shop for all your compliance needs.
Broker-Dealers
Don’t let regulatory burdens overun your broker-dealer firm. Manage compliance with ease. How? With COMPLY.
Investment Banks
Invest in the only compliance solution able to provide a full 360-degree view of risk. Invest in a scalable, configurable solution designed to meet your needs.
COMPLYConnect 2025, Miami, FL
Join Us: October 14 – 17
Sign up to be the first to hear when registration opens for COMPLYConnect 2025!
Learn more
Services
Compliance
Compliance Review
Compliance Consulting
Regulatory Filings
Administrative Services
Consulting & Support
New Registration
IAR and Representative Registration
Broker-Dealer Registration
SEC and State IA Registration
Education / CRE
IACCP® and IA Core Programs
IAR CE
Comply Desktop Seminars
COMPLYConnect Conference & Expo
3rd-Party Compliance
Counterparty Due Diligence
Cybersecurity and Outsourced IT
Vendor Due Diligence
Resources
Resources
Resource Library
Check out the latest blogs, articles, guides, and more to help you stay a step ahead of the regulatory curve.
Online Courses
Continue your regulatory education and certification requirements with our live and on-demand courses.
Events and Webinars
From upcoming webinars to in-person conferences, check out these must-attend events.
Company
Company
About COMPLY
COMPLY News
Events & Webinars
Awards
Careers
Leadership
Contact Us
Support
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IACCP Resource Center
ComplianceGuardian
Desktop on Demand
ComplySci
illumis
RIA in a Box
SCHEDULE A DEMO
Support
Login
IACCP Resource Center
ComplianceGuardian
Desktop on Demand
ComplySci
illumis
RIA in a Box
SCHEDULE A DEMO
COMPLY Newsroom
Stay up to date with the latest news from the experts in regulatory compliance.
Jan 07, 2025
COMPLY Expands Commercial Leadership Team to Support Global Expansion and Growth
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Dec 04, 2024
COMPLY Appoints Global Risk and Regulatory Compliance Leader Jamila Mayfield as New Chief Regulatory Services Officer
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Nov 21, 2024
Tech Veteran Deepak Kaimal Joins COMPLY as Chief Technology Officer
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Oct 28, 2024
Outstanding Compliance Professionals in the Financial Services Industry Honored at COMPLYConnect ‘24
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Oct 17, 2024
COMPLY’s 2024-2025 UK CCO Playbook Assesses Scope of FCA Regulatory and Enforcement Activity, Details Escalating Compliance Demands Placed on UK-Based Financial Institutions
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Oct 16, 2024
COMPLY Announces 2024 COMPLYConnect Award Finalists in Year of Record-Breaking Nominations
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Aug 15, 2024
COMPLY RECOGNIZED ON THE 2024 INC. 5000 LIST OF FASTEST-GROWING PRIVATE COMPANIES IN AMERICA FOR THIRD CONSECUTIVE YEAR
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Jul 17, 2024
With Addition of AccountCompare, COMPLY Delivers COMPLY Fiduciary Suite to Address Duty of Care, Reg BI, and DOL PTE 2020-02 Requirements
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Jun 20, 2024
2024 Investment Adviser Industry Snapshot Shows Increase in Demand for Adviser Services
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May 29, 2024
COMPLY’s 2024 U.S. CCO Playbook Details Current Regulatory and Market Outlook to Provide Advisory Firms with Comprehensive Guide for the Coming Year
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May 17, 2024
COMPLY 2024 Customer Summits Brings Nearly 500 Global Financial Advisory Firms together to Discuss Trending Compliance Initiatives and Hear from Experts in the Regulatory Industry
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May 08, 2024
COMPLY Enhances Executive Leadership Team with Appointments of Jeff Hilk as Chief Revenue Officer and Wendy Werve as Chief Market Officer
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May 02, 2024
COMPLY Opens Nominations for Third-Annual COMPLYConnect Conference & Expo Awards
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Apr 24, 2024
COMPLY Names Michael J. Stanton as New CEO
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Apr 17, 2024
Thornton & Associates, LLC to Leverage Best-in-Class Capabilities of COMPLY’s Premier Compliance Technology to Bolster Innovative Automation and Drive Comprehensive Compliance Management for Clients
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Mar 19, 2024
COMPLY Publishes 2024 Elections Insight Report Analyzing 1,200 Candidates Running for Presidential, Senate, or House to Assess Potential Pay-to-Play Compliance Considerations in General Election Cycle
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