Outside Business Activities & Conflicts of Interest

• Create custom forms or leverage out-of-the-box preclearance templates
• Standardise and automate workflows and restricted lists
• Deliver an exceptional user experience with 99.9% platform uptime

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.

• Automate distribution and reminders, reducing repeat, manual tasks
• Configure questionnaires and workflows to match your firm’s unique requirements
• Analyse responses to surface outliers, notify supervisors of red flags, and generate audit-ready evidence

Comply helps firms manage pay-to-play risk by centralizing preclearance, monitoring, and reporting – with real-time visibility across public data sources.

• Aggregate and monitor political contribution records
• Automate preclearance requests
• Flag and document potential violations