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Manage employee supervision and demonstrate, disclose, and document your best interest recommendations, all from one platform.
From the SEC to the FCA to the European Commission and other global regulators, navigating the nuanced requirements for capital market firms demands a comprehensive compliance support structure to ensure you never miss a beat.
Collecting and maintaining registration and licensing information for registered representatives is vital to the success of compliance programs, requiring a keen eye for detail and ongoing, diligent oversight.
Written Supervisory Procedures are the backbone of a comprehensive compliance program, defining the critical policies, processes, and procedures for your entire firm – and off-the-shelf policies simply will not cut it.
Comply's regulatory and technology experts have decades of experience helping brokers and trading firms navigate the varied and complex regulatory requirements And we can help you do the same.
As a fiduciary, it is your responsibility to continuously act in your client’s best interest — and to document the steps you’ve taken to prove you continue to do so.
Leverage Comply’s technology-backed solution to automate the process and customize your WSPs to your unique needs and requirements.
Generate and file disclosures specific to each of your firm’s representatives and ensure your firm is exercising reasonable diligence, care, and skill in making recommendations.
Have a few questions after exploring our solutions and capabilities for Broker-Dealers? Check out some of the most frequently asked questions for all your answers.
Comply provides our customers with the service and support required to meet the exacting demands of the regulatory industry, while embodying the attention to detail you demand of yourself and your team. With 24/5 support and unparalleled in-house expertise, your program is our priority from the moment you begin the onboarding process. That’s our promise to you.
You can contact our Customer Support team here.
When you work with a compliance technology firm that has established direct brokerage feeds, the broker carrying the account sends electronic data files to your firm’s compliance system directly through a secure connection. Data files include the holdings and transaction activity for all of your firm’s employees’ accounts held at that broker.
With integrated direct broker feeds from more than 300 brokerage firms and a robust data normalization process, Comply provides unrivaled information accuracy and dependability. These feeds:
Comply offers a Marketing Review Service which aids broker-dealers in complying with all requirements within the new rule.
Comply customers have access to the registration and licensing solution, RepTracker. This solution aggregates and manages data about registered reps, including licenses, registrations, and renewals on a state-by-state level through a single, centralized database.
As part of the Comply portfolio of firms, customers have access to the ComplianceGuardian solution, which helps broker-dealers maintain their Written Supervisory Procedures manual.
Comply customers have access to our RolloverAnalyzer solution, which supports compliance with the DOL’s PTE 2020-02 exemption.
Complete this form to schedule a full demo and see firsthand what our compliance solutions can do for you.
