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Giving and receiving gifts is a core aspect of doing business for many companies. But in today’s highly regulated environment, firms must safeguard against conflicts of interest and bribery risks. Regulated firms are required to document and manage real and perceived conflicts of interest, including those associated with gifts, gratuities, and entertainment.
Gain a holistic view into anti-bribery risk and streamline the process of managing gifts and entertainment monitoring with the Comply Platform.
Certifications and attestations demonstrate that employees, contractors, and sub-advisers understand – and commit to – your firm’s policies. Regulators expect this acknowledgment, and Comply makes it scalable, automated, and defensible.
“We depend on the platform for training and certification now too, and probably use this more than anything else now. We have created more certifications and employees are engaged and educated on what it means to be Code of Ethics compliant.” – Michael Isaac, Stadion Money Management
“Moving to Comply has allowed us to do more complex surveillance. The customization is incredible. Comply is as customizable as you want it to be.” – Chase Eldredge, Angel Oak Capital Advisors
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.
Monitor and mitigate potential Code of Ethics, Conflict of Interest, or Personal Trading violations with a data-backed solution supported by 300+ direct broker feeds.
Book a DemoDownload Comply’s CCO Playbook for a look at the past year’s compliance stats and an analysis of ongoing compliance challenges.
