Institutional investors

Software built by compliance professionals for compliance professionals

Diligently mitigating all risks related to employee conflicts of interest and material non-public information (MNPI) is a monumental undertaking for even the most experienced compliance professional. The good news? You don’t have to do it alone.

Empower your compliance team

Precise. Accurate. Exacting. A compliance solution made for the perfectionist in you.

Whether you handle endowments, foundations, pension funds or insurance, you’ve been trusted to ensure all facets of your business are compliant with internal guidelines and financial services regulations. COMPLY helps map your unique employee Code of Ethics policies to preclearance and approval workflows, mitigating risks related to various employee conflicts of interest.

The result? Time savings and effective oversight.

Integrated with more than 300 direct broker feeds and supported by a best-in-class customer success team, COMPLY technology and solutions are designed to give you a 360-degree view of compliance risk within your institution, so you never have to wonder if you’re missing something important.

– CFI Partners Chief Compliance and Chief Technology Officer David Becker
Data insights

Gain data insight to quickly address potential employee conflicts of interest.

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Streamline and automate your firm's certifications and attestations.

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Effectively identify market abuse.

Monitor personal trading

Establish an efficient gifts and entertainment approval process

Track employees’ certifications and attestations

Don't take our word for it

Frequently asked questions

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Ready to get started?

Dependable. Accurate. Comprehensive. Manage your compliance program with a partner who is as dedicated to getting it right as you are. Manage your compliance program with COMPLY.