Comply Launches Financial Services' First Agentic Compliance Platform MCP Server, Enabling Teams to Build Custom AI Agents Without Developers
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Firm Types
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.
Endowments
Uphold institutional trust with scalable oversight. We help endowments manage conflicts, track disclosures, and align with fiduciary standards.
Solutions
Employee Compliance
Trade Monitoring
Code of Ethics
Conflicts of Interest
Case Management
Reporting & Analytics
Political Contributions and OBA Monitoring
Individual Accountability
Firm Compliance
ComplyAI
Compliance Calendar
Risk Assessments
Annual Review
Intelligent Policy Builder
Best Interest Compliance
Communications Archiving
Comply’s Communications & Archiving solution helps firms meet these requirements with a centralized system that strengthens oversight, reduces manual review burdens, and maintains a robust record of supervision.
Products
Comply Product Suite
Comply Platform (formerly ComplySci)
The comprehensive solution to meet your complex compliance requirements.
Comply for RIA (formerly 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.
ComplianceGuardian (formerly NRS)
Comply helps firms reduce manual processes, strengthen supervisory control, and maintain defensible documentation.
Comply Accountability (IAR)
Services
Registration Services
Regulatory Compliance Consulting
Regulatory Filings
Managed Services
Education
Education
Resources
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.
Continuing Education
Complete your courses and maintain your requirements – with Comply.
Company
Company
About Comply
Comply News
ComplyConnect Conference
Events & Webinars
Partnerships
Awards
Careers
Leadership
Contact Us
Support
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Comply Platform (formerly ComplySci)
RIA in a Box
illumis
ComplianceGuardian (formerly NRS)
IACCP Resource Center
Desktop on Demand
English (US)
English (UK & Europe)
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Support
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Comply Platform (formerly ComplySci)
Comply for RIA (formerly RIA in a Box)
illumis
ComplianceGuardian
IACCP Resource Center
Desktop on Demand
English (US)
English (UK & Europe)
Schedule a Demo
Comply Newsroom
Stay up to date with the latest news from the experts in regulatory compliance.
Mar 08, 2022
ComplySci® CEO Amy Kadomatsu wins Women in Technology & Data Awards’ Gender Equality / Diversity Professional of the Year by WatersTechnology
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Dec 20, 2021
ComplySci Announces Shannon Seastead as Chief Marketing Officer and Bill Mahoney as Chief Customer Officer
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Dec 09, 2021
ComplySci and RIA in a Box Join Forces to Launch the Future of Compliance Software
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Nov 18, 2021
ComplySci Acquires illumis, Premier Technology Provider to Financial Services Firms and Aggregator of Political Contribution Data
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Oct 21, 2021
ComplySci Acquires the NRS® company – An Advanced Provider of Compliance and Regulatory Consulting, Education and Technology for Financial Services Companies
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Oct 21, 2021
ComplySci Acquires NRS, an Advanced Provider of Compliance and Regulatory Consulting, Education and Technology for Financial Services Companies
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Oct 12, 2021
ComplySci Appoints David Eisner and Sari Granat to Board of Directors
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Oct 07, 2021
CircleBlack Expands Integration Options by Partnering with RIA in a Box
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Sep 15, 2021
RIA in a Box Launches Virtual Advisor Desktop and Enhanced Cybersecurity Dashboard for RIA Firms
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Aug 26, 2021
ComplySci Appoints Widely-Respected Finance and Accounting Executive Wendy Fraulo As New CFO
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Aug 05, 2021
ComplySci Advances Growth Vision with Addition of Stephen Marsh and Susan Theder to Board of Directors
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Jun 28, 2021
Investment Adviser Industry Defies Pandemic and Grows for 9th Consecutive Year
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Jun 22, 2021
Betterment for Advisors, RIA in a Box, RightCapital, and Wealthbox Come Together to Launch RIA Tech Suite
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Jun 10, 2021
ComplySci Announces $120 Million Growth Investment from K1 Investment Management
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Jun 03, 2021
RIA in a Box Announces New Automated RIA Communications Archiving and Review Solution
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May 28, 2021
ComplySci Wins Best Regulatory & Compliance Adviser at the Institutional Asset Manager Awards
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