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Intelligent Policy Builder

Your Policies and Procedures and Code of Conduct are the foundation of your firm’s compliance program. And as required by regulatory bodies, they must be specific to your firm’s unique risk profile and business operations.

Comply’s Intelligent Policy Builder transforms policy creation into a guided, intuitive, and regulatory-aligned experience.

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Intelligent Policy Builder

Simplify Policy Creation and Ensure Best Practice

  • Comply’s Intelligent Policy builder provides a step-by-step guide, helping you create the right policies and manuals for your firm.
  • Benefit from embedded best-practice guidance and auto-recommendations, curated by seasoned compliance professionals.
  • Track version history and edits to your policies and manuals, ensuring every change is accounted for in your documentation.
  • Deliver new manual versions to staff and collect attestations of their receipt
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Comply Intelligent Policy Builder

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Establish the core of your compliance program, with customised policies and procedures, Code of Ethics, and WSPs which address your unique business practices.

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STRAIGHT FROM THE USERS

Client Testimonials

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“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

“The customer service at Comply is special. They are all extremely knowledgeable and friendly. I appreciate the team always allows me the opportunity to walk through the product and learn, so I can reduce the times I must reach out again in the future.” – Jackie Jacobs, VSS

Why Comply?

DIRECT BROKER FEEDS

Integrated direct broker feeds from more than 300 brokerage firms and a robust data normalization process provide unrivaled information accuracy and dependability.

DATA INTEROPERABILITY AND APIs

Powerful integration capabilities facilitate data connections between our platform and other industry-leading solutions, enhancing communications, increasing efficiency, and providing a seamless customer experience.

EDUCATION

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.

SOLUTION AND SERVICE INNOVATION

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.

REGULATORY EXPERTISE

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.

AWARD-WINNING CUSTOMER SERVICE

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.

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Manage Your Policies and Procedures with Confidence

Your Policies and Procedures are the backbone of your compliance program. They must be unique to your firm’s business activities. Understood and followed firm wide. And enforced by your team. We can help.

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WITH CONFIDENCE.

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The Benefits of Direct Brokerage Feeds

Download The Benefits of Direct Brokerage Feeds to discover how 300+ direct broker feeds can aid your compliance team in their efforts to build an effective, accurate program.

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