Investment advisers
Expertly navigate complex regulations
Your investment advisory firm faces new risk and regulatory challenges on a near daily basis. With the Securities and Exchange Commission (SEC) hyper-focused on evolving their regulatory presence to meet the changing industry, registered investment advisers are tasked with navigating increasingly complex regulations all while maintaining client trust and protecting their best interest. We get it. We can help.
Empower your compliance team
You deserve a solution as accurate and dependable as you are.
Whether you are a part of a large firm or a breakaway, a state- or SEC-registered adviser, your firm has an ever-growing number of regulatory requirements to meet and track. But you don't have to do it alone.
At COMPLY, we are obsessed with the details, taking the time to precisely analyze new regulations, like the SEC Marketing Rule, to provide thorough solutions to help your firm navigate the ever-evolving landscape. It’s why we offer a full suite of technology, consulting and educational resources to help you effectively manage your compliance program so you can focus on delivering value for your most valuable asset – your clients.
Proactively identify risks.
Navigate SEC and state regulations and risk alerts.
Track and tackle conflicts of interest.
Don’t take our word for it
"Moving to ComplySci has allowed us to do more complex surveillance. The customization is incredible. ComplySci is as customizable as you want it to be."
