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Annual Reviews and Risk Assessments are critical tools for regulated firms to test and analyse their compliance programs. With regulatory sanctions and penalties reaching record highs in the last few years, it’s never been more crucial. Don’t leave your firm’s compliance to chance. Ensure your program, and its foundational policies and procedures, are effective in managing and mitigating risk.
Conduct comprehensive testing and review of your entire program with Comply’s guided, digital, and documented annual review solution.
Comply’s Risk Assessment tool provides a structured framework for identifying, scoring, and documenting compliance risks. It brings clarity and defensibility to one of the most critical elements of your compliance program.
“If we are examined by the SEC, we can easily prove that we conducted certifications and were collecting employee holdings and transaction information on a quarterly basis.” – CCO at a Hedge Fund
“Wearing two hats, I was very busy doing manual compliance tasks which were not the best use of my time and there were other things I could be doing that would be more beneficial to the firm. I knew the way we were doing things before was never going to scale going forward, considering our aspirations for growth.” – David Becker, CFIP
Integrated direct broker feeds from more than 300 brokerage firms and a robust data normalization process provide unrivaled information accuracy and dependability.
Powerful integration capabilities facilitate data connections between our platform and other industry-leading solutions, enhancing communications, increasing efficiency, and providing a seamless customer experience.
Decades of regulatory expertise power Comply’s premier compliance education programs. With courses designed for CCOs, IARs, and more, Comply empowers our clients to elevate their program and their career…raising the standard of regulatory compliance across the industry.
Incorporating direct feedback from Comply’s portfolio of firms, we continuously implement the enhancements that matter most to our clients. We go beyond technology to offer a breadth of services and solutions designed to meet our clients’ unique needs and challenges, including digital asset trade monitoring, compliance program management, consulting services, compliance education, and more.
The Comply team is comprised of former CCOs, former regulators, and experienced lawyers. We understand the challenges you face because we’ve been there. Our deep bench of industry expertise – which includes expansive knowledge in technology enablement and regulatory compliance protocols and processes – supports more than 7,000 clients.
Let us be an extension of your back office and provide support from our dedicated subject matter experts when you need it most. Customer support is available 24/5.
Compliance isn’t set-it-and-forget-it. Meet your regulatory obligation with the technology and services designed to help you comply with confidence.
Book a DemoDownload Comply’s Annual Review Guide for an analysis of the annual review process, testing protocols, and documentation requirements.
