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While you’re growing your firm and delivering value to clients, you also have to navigate the complex regulatory ecosystem. Now, you don’t have to do it alone. Leverage the industry’s leading compliance software and services configured to meet your specific needs as an asset or wealth manager.
The scope of regulatory requirements is only increasing. Leaving many firms facing the often insurmountable task of reviewing, interpreting, and implementing the appropriate compliance changes to meet new requirements.
Regular assessment, review, and testing of your compliance program isn't just mandated by the SEC, it is a best practice to proactively identify potential gaps before they become deficiencies.
As the CCO, not only are you responsible for setting the standard of compliance, you must also track and monitor all employees trades, OBAs, gifts, entertainment, political contributions, and more.
Comply's regulatory and technology experts have decades of experience helping wealth management firms navigate the varied and complex regulatory requirements. And we can help you do the same.
A comprehensive compliance program is multi-faceted, addressing a firm’s core risk points based on business activity and operations. The answer to managing the daily details? Automation.
Automate the review and testing of your compliance program, identifying, remediating, and documenting your findings for ongoing reference.
Generate, implement, and maintain comprehensive Policies and Procedures tailored specifically to your firm’s risk profile and business operations. Align this critical documentation with day-to-day monitoring of employee trades, outside business activities, and more.
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.
Have a few questions after exploring our solutions and capabilities for Wealth Managers? Check out some of the most frequently asked questions for all your answers.
Comply offers various solutions for wealth managers to streamline their compliance tasks and efficiently meet regulatory requirements. Learn more about our compliance solutions, including the ComplySci Platform and Control Room.
Yes, Comply offers various wealth management specific solutions such as compliance support, employee supervision, and SMCR.
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.
Complete this form to schedule a full demo and see firsthand what our compliance solutions can do for you.
Yes, the restricted securities list is fully customisable for firms which implement a trade pre-clearance program. When implemented, each access person submits a trade request, which is then automatically approved or held for approval based on the firm’s settings. In addition, any security purchased or sold by an access person that is listed on the firm’s restricted security list is flagged by the system for further review. All historical restricted securities are archived.
Yes, the tool is designed to help meet the SEC’s Rule 204A-1 (Code of Ethics Rule) requirements as it relates to personal securities trading. The Code of Ethics rule requires all access persons of an RIA firm to submit securities holdings and transaction reports to the firm’s chief compliance officer (CCO) or other designated person(s). The system automatically creates holdings and transactions reports, which are then reviewed and attested to by the firm’s access persons prior to submission.
