Whether you manage five, 500 or 5,000+ registered broker-dealer representatives, we know how burdensome manual processes can be, taking your team’s time, energy and focus away from other high-priority initiatives. Not anymore – say hello to automation with accuracy!
Whether you're focusing on institutional or retail trades, we know the Financial Industry Regulatory Authority (FINRA) and Securities and Exchange Commission (SEC) play a major role in your day-to-day responsibilities.
Strict oversight, combined with the challenges of the evolving regulatory landscape, mean a lot is expected from your compliance team, which is why we know you demand a partner that’s as accurate, precise, and dependable as you.
Meet COMPLY. With the power of our portfolio of firms, we combine technology, consulting, and educational solutions to help keep your compliance program at peak performance. Ready to see how we can help you achieve compliance?