{"id":12234,"date":"2024-08-01T18:51:46","date_gmt":"2024-08-01T18:51:46","guid":{"rendered":"https:\/\/comply-dev.peaktwo.com\/?post_type=product_posts&#038;p=12234"},"modified":"2025-10-05T17:48:30","modified_gmt":"2025-10-05T17:48:30","slug":"complysci","status":"publish","type":"product_posts","link":"https:\/\/www.comply.com\/en-gb\/products\/complysci\/","title":{"rendered":"ComplySci"},"content":{"rendered":"","protected":false},"featured_media":0,"template":"","class_list":["post-12234","product_posts","type-product_posts","status-publish","hentry"],"acf":{"hero_group":{"show_section":true,"logo":false,"hero_subhead":"Formerly ComplySci","hero_headline":"360-Degree Regulatory Compliance for Financial Services","hero_text":"<p>Scale your compliance strategy with a modern, easy-to-use platform that addresses the complex regulatory compliance needs of asset and investment managers, wealth managers, trading firms, investment banks and insurance companies.<\/p>\n","hero_button":{"title":"Schedule a Demo","url":"https:\/\/www.comply.com\/en-gb\/book-a-demo\/","target":""},"awards":false,"hero_image":{"ID":12868,"id":12868,"title":"Business people discussing in a meeting room","filename":"iStock-2158074304.jpg","filesize":372071,"url":"https:\/\/www.comply.com\/wp-content\/uploads\/2024\/08\/iStock-2158074304.jpg","link":"https:\/\/www.comply.com\/en-gb\/products\/complysci\/business-people-discussing-in-a-meeting-room-2\/","alt":"","author":"4","description":"","caption":"Business people discussing in a meeting room","name":"business-people-discussing-in-a-meeting-room-2","status":"inherit","uploaded_to":12234,"date":"2025-09-30 20:31:03","modified":"2025-10-05 17:48:31","menu_order":0,"mime_type":"image\/jpeg","type":"image","subtype":"jpeg","icon":"https:\/\/www.comply.com\/wp-includes\/images\/media\/default.png","width":1254,"height":836,"sizes":{"thumbnail":"https:\/\/www.comply.com\/wp-content\/uploads\/2024\/08\/iStock-2158074304-150x150.jpg","thumbnail-width":150,"thumbnail-height":150,"medium":"https:\/\/www.comply.com\/wp-content\/uploads\/2024\/08\/iStock-2158074304-300x200.jpg","medium-width":300,"medium-height":200,"medium_large":"https:\/\/www.comply.com\/wp-content\/uploads\/2024\/08\/iStock-2158074304-768x512.jpg","medium_large-width":768,"medium_large-height":512,"large":"https:\/\/www.comply.com\/wp-content\/uploads\/2024\/08\/iStock-2158074304-1024x683.jpg","large-width":1024,"large-height":683,"1536x1536":"https:\/\/www.comply.com\/wp-content\/uploads\/2024\/08\/iStock-2158074304.jpg","1536x1536-width":1254,"1536x1536-height":836,"2048x2048":"https:\/\/www.comply.com\/wp-content\/uploads\/2024\/08\/iStock-2158074304.jpg","2048x2048-width":1254,"2048x2048-height":836,"menu-24x24":"https:\/\/www.comply.com\/wp-content\/uploads\/2024\/08\/iStock-2158074304-24x16.jpg","menu-24x24-width":24,"menu-24x24-height":16,"menu-36x36":"https:\/\/www.comply.com\/wp-content\/uploads\/2024\/08\/iStock-2158074304-36x24.jpg","menu-36x36-width":36,"menu-36x36-height":24,"menu-48x48":"https:\/\/www.comply.com\/wp-content\/uploads\/2024\/08\/iStock-2158074304-48x32.jpg","menu-48x48-width":48,"menu-48x48-height":32}}},"left_right_content_group":{"show_section":true,"sub_head":"","headline":"Why choose Comply to help scale your compliance strategy?","text":"Comply delivers technology to help you address new regulations, update your policies and procedures, automate day-to-day compliance activities, and scale your compliance program. Let's show you how. ","content":[{"subhead":"","headline":"Streamline Personal Account Dealing Monitoring ","text":"<p>Manage and monitor your employees\u2019 trade activity to ensure everyone is acting in the best interest of your clients.<\/p>\n<ul>\n<li class=\"mb-4 text-[#666666] text-[16px] flex-row-reverse flex justify-end items-start\">Gain a full view of employee brokerage accounts through the industry\u2019s largest network of direct broker feeds<\/li>\n<li class=\"mb-4 text-[#666666] text-[16px] flex-row-reverse flex justify-end items-start\">Uncover trends through trade activity and reconciliation reports<\/li>\n<li>Easily address, document, and report violations as they occur<\/li>\n<\/ul>\n","link":"","media_type":"image","image":{"ID":12741,"id":12741,"title":"Comply Trade 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Conflicts of Interest ","text":"<p>Track firm initiatives alongside employee activities to proactively identify potential conflicts of interest and market abuse.<\/p>\n<ul>\n<li class=\"mb-4 text-[#666666] text-[16px] flex-row-reverse flex justify-end items-start\">Collect and organize information on firm deals, employee meetings, and MNPI access<\/li>\n<li class=\"mb-4 text-[#666666] text-[16px] flex-row-reverse flex justify-end items-start\">Facilitate a request and disclosure workflow for employee wall-crossing<\/li>\n<li class=\"mb-4 text-[#666666] text-[16px] flex-row-reverse flex justify-end items-start\">Seamlessly add deal-related securities to restricted lists<\/li>\n<\/ul>\n","link":"","media_type":"image","image":{"ID":12750,"id":12750,"title":"Comply Control Room 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20:21:53","menu_order":0,"mime_type":"image\/png","type":"image","subtype":"png","icon":"https:\/\/www.comply.com\/wp-includes\/images\/media\/default.png","width":650,"height":518,"sizes":{"thumbnail":"https:\/\/www.comply.com\/wp-content\/uploads\/2024\/08\/Comply-Control-Room-COI-150x150.png","thumbnail-width":150,"thumbnail-height":150,"medium":"https:\/\/www.comply.com\/wp-content\/uploads\/2024\/08\/Comply-Control-Room-COI-300x239.png","medium-width":300,"medium-height":239,"medium_large":"https:\/\/www.comply.com\/wp-content\/uploads\/2024\/08\/Comply-Control-Room-COI.png","medium_large-width":650,"medium_large-height":518,"large":"https:\/\/www.comply.com\/wp-content\/uploads\/2024\/08\/Comply-Control-Room-COI.png","large-width":650,"large-height":518,"1536x1536":"https:\/\/www.comply.com\/wp-content\/uploads\/2024\/08\/Comply-Control-Room-COI.png","1536x1536-width":650,"1536x1536-height":518,"2048x2048":"https:\/\/www.comply.com\/wp-content\/uploads\/2024\/08\/Comply-Control-Room-COI.png","2048x2048-width":650,"2048x2048-height":518,"menu-24x24":"https:\/\/www.comply.com\/wp-content\/uploads\/2024\/08\/Comply-Control-Room-COI-24x19.png","menu-24x24-width":24,"menu-24x24-height":19,"menu-36x36":"https:\/\/www.comply.com\/wp-content\/uploads\/2024\/08\/Comply-Control-Room-COI-36x29.png","menu-36x36-width":36,"menu-36x36-height":29,"menu-48x48":"https:\/\/www.comply.com\/wp-content\/uploads\/2024\/08\/Comply-Control-Room-COI-48x38.png","menu-48x48-width":48,"menu-48x48-height":38}},"video":"q56907cwto"},{"subhead":"","headline":"Deliver a Modern Preclearance User Experience","text":"<p>Empower your employees with an simple, intuitive preclearance request process for trades, outside business activities, gifts and entertainment, digital assets, and more.<\/p>\n<ul>\n<li>Create custom forms or leverage out-of-the-box preclearance templates<\/li>\n<li>Standardize and automate workflows and restricted lists<\/li>\n<li>Deliver an exceptional user experience with 99.9% platform uptime<\/li>\n<\/ul>\n","link":"","media_type":"image","image":{"ID":12992,"id":12992,"title":"Comply Trade Monitoring - Preclearance and OBAs 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17:48:31","menu_order":0,"mime_type":"image\/png","type":"image","subtype":"png","icon":"https:\/\/www.comply.com\/wp-includes\/images\/media\/default.png","width":2497,"height":1684,"sizes":{"thumbnail":"https:\/\/www.comply.com\/wp-content\/uploads\/2025\/09\/Comply-Trade-Monitoring-Preclearance-and-OBAs-copy-150x150.png","thumbnail-width":150,"thumbnail-height":150,"medium":"https:\/\/www.comply.com\/wp-content\/uploads\/2025\/09\/Comply-Trade-Monitoring-Preclearance-and-OBAs-copy-300x202.png","medium-width":300,"medium-height":202,"medium_large":"https:\/\/www.comply.com\/wp-content\/uploads\/2025\/09\/Comply-Trade-Monitoring-Preclearance-and-OBAs-copy-768x518.png","medium_large-width":768,"medium_large-height":518,"large":"https:\/\/www.comply.com\/wp-content\/uploads\/2025\/09\/Comply-Trade-Monitoring-Preclearance-and-OBAs-copy-1024x691.png","large-width":1024,"large-height":691,"1536x1536":"https:\/\/www.comply.com\/wp-content\/uploads\/2025\/09\/Comply-Trade-Monitoring-Preclearance-and-OBAs-copy-1536x1036.png","1536x1536-width":1536,"1536x1536-height":1036,"2048x2048":"https:\/\/www.comply.com\/wp-content\/uploads\/2025\/09\/Comply-Trade-Monitoring-Preclearance-and-OBAs-copy-2048x1381.png","2048x2048-width":2048,"2048x2048-height":1381,"menu-24x24":"https:\/\/www.comply.com\/wp-content\/uploads\/2025\/09\/Comply-Trade-Monitoring-Preclearance-and-OBAs-copy-24x16.png","menu-24x24-width":24,"menu-24x24-height":16,"menu-36x36":"https:\/\/www.comply.com\/wp-content\/uploads\/2025\/09\/Comply-Trade-Monitoring-Preclearance-and-OBAs-copy-36x24.png","menu-36x36-width":36,"menu-36x36-height":24,"menu-48x48":"https:\/\/www.comply.com\/wp-content\/uploads\/2025\/09\/Comply-Trade-Monitoring-Preclearance-and-OBAs-copy-48x32.png","menu-48x48-width":48,"menu-48x48-height":32}},"video":"q56907cwto"},{"subhead":"","headline":"Orchestrate Your Compliance Program","text":"<p>Stay on-task and ahead of risk with an all-in-one solution for compliance program management.<\/p>\n<ul>\n<li class=\"mb-4 text-[#666666] text-[16px] flex-row-reverse flex justify-end items-start\">Assess risks and ensure you&#8217;re exam ready with an integrated risk assessment tool<\/li>\n<li class=\"mb-4 text-[#666666] text-[16px] flex-row-reverse flex justify-end items-start\">Conduct your Annual Review using a guided submission process<\/li>\n<li>Easily update your firm&#8217;s Policies and Procedures to address new rules and changes in regulations<\/li>\n<li>Manage compliance activities using a bespoke compliance calendar<\/li>\n<\/ul>\n","link":"","media_type":"image","image":{"ID":11594,"id":11594,"title":"Who We Serve - PF - Annual Review and 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360-Degree Compliance","text":"<p>Establish full visibility into your compliance program and day-to-day compliance tasks.<\/p>\n<ul>\n<li>Gain immediate insights and actions directly from your dashboard<\/li>\n<li>Easily export visual analytics, dashboards, and ad-hoc reports<\/li>\n<li>Document and provide a full audit trail for stakeholders and regulators<\/li>\n<\/ul>\n","link":"","media_type":"image","image":{"ID":12737,"id":12737,"title":"Comply Compliance Calendar","filename":"Comply-Compliance-Calendar.png","filesize":52405,"url":"https:\/\/www.comply.com\/wp-content\/uploads\/2024\/08\/Comply-Compliance-Calendar.png","link":"https:\/\/www.comply.com\/en-gb\/products\/complysci\/comply-compliance-calendar-2\/","alt":"","author":"12","description":"","caption":"","name":"comply-compliance-calendar-2","status":"inherit","uploaded_to":12234,"date":"2025-09-29 17:48:02","modified":"2025-09-29 17:48:02","menu_order":0,"mime_type":"image\/png","type":"image","subtype":"png","icon":"https:\/\/www.comply.com\/wp-includes\/images\/media\/default.png","width":650,"height":373,"sizes":{"thumbnail":"https:\/\/www.comply.com\/wp-content\/uploads\/2024\/08\/Comply-Compliance-Calendar-150x150.png","thumbnail-width":150,"thumbnail-height":150,"medium":"https:\/\/www.comply.com\/wp-content\/uploads\/2024\/08\/Comply-Compliance-Calendar-300x172.png","medium-width":300,"medium-height":172,"medium_large":"https:\/\/www.comply.com\/wp-content\/uploads\/2024\/08\/Comply-Compliance-Calendar.png","medium_large-width":650,"medium_large-height":373,"large":"https:\/\/www.comply.com\/wp-content\/uploads\/2024\/08\/Comply-Compliance-Calendar.png","large-width":650,"large-height":373,"1536x1536":"https:\/\/www.comply.com\/wp-content\/uploads\/2024\/08\/Comply-Compliance-Calendar.png","1536x1536-width":650,"1536x1536-height":373,"2048x2048":"https:\/\/www.comply.com\/wp-content\/uploads\/2024\/08\/Comply-Compliance-Calendar.png","2048x2048-width":650,"2048x2048-height":373,"menu-24x24":"https:\/\/www.comply.com\/wp-content\/uploads\/2024\/08\/Comply-Compliance-Calendar-24x14.png","menu-24x24-width":24,"menu-24x24-height":14,"menu-36x36":"https:\/\/www.comply.com\/wp-content\/uploads\/2024\/08\/Comply-Compliance-Calendar-36x21.png","menu-36x36-width":36,"menu-36x36-height":21,"menu-48x48":"https:\/\/www.comply.com\/wp-content\/uploads\/2024\/08\/Comply-Compliance-Calendar-48x28.png","menu-48x48-width":48,"menu-48x48-height":28}},"video":"q56907cwto"},{"subhead":"","headline":"Issue and Track Certifications and Attestations","text":"<p>As new policies are created or updated, easily build certifications for employees to attest.<\/p>\n<ul>\n<li class=\"mb-4 text-[#666666] text-[16px] flex-row-reverse flex justify-end items-start\">Understand which employees have outstanding certifications and send follow-ups as needed<\/li>\n<li class=\"mb-4 text-[#666666] text-[16px] flex-row-reverse flex justify-end items-start\">Automatically monitor questions to flag unexpected responses and set up conditional questions to make informed compliance decisions<\/li>\n<li>Export a full audit trail of all compliance activities<\/li>\n<\/ul>\n","link":"","media_type":"image","image":{"ID":12744,"id":12744,"title":"Comply Platform 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19:37:08","menu_order":0,"mime_type":"image\/png","type":"image","subtype":"png","icon":"https:\/\/www.comply.com\/wp-includes\/images\/media\/default.png","width":650,"height":433,"sizes":{"thumbnail":"https:\/\/www.comply.com\/wp-content\/uploads\/2024\/08\/Comply-Platform-Certifications-150x150.png","thumbnail-width":150,"thumbnail-height":150,"medium":"https:\/\/www.comply.com\/wp-content\/uploads\/2024\/08\/Comply-Platform-Certifications-300x200.png","medium-width":300,"medium-height":200,"medium_large":"https:\/\/www.comply.com\/wp-content\/uploads\/2024\/08\/Comply-Platform-Certifications.png","medium_large-width":650,"medium_large-height":433,"large":"https:\/\/www.comply.com\/wp-content\/uploads\/2024\/08\/Comply-Platform-Certifications.png","large-width":650,"large-height":433,"1536x1536":"https:\/\/www.comply.com\/wp-content\/uploads\/2024\/08\/Comply-Platform-Certifications.png","1536x1536-width":650,"1536x1536-height":433,"2048x2048":"https:\/\/www.comply.com\/wp-content\/uploads\/2024\/08\/Comply-Platform-Certifications.png","2048x2048-width":650,"2048x2048-height":433,"menu-24x24":"https:\/\/www.comply.com\/wp-content\/uploads\/2024\/08\/Comply-Platform-Certifications-24x16.png","menu-24x24-width":24,"menu-24x24-height":16,"menu-36x36":"https:\/\/www.comply.com\/wp-content\/uploads\/2024\/08\/Comply-Platform-Certifications-36x24.png","menu-36x36-width":36,"menu-36x36-height":24,"menu-48x48":"https:\/\/www.comply.com\/wp-content\/uploads\/2024\/08\/Comply-Platform-Certifications-48x32.png","menu-48x48-width":48,"menu-48x48-height":32}},"video":"q56907cwto"},{"subhead":"","headline":"Strengthen your SMCR Program","text":"<p>Leverage digital processes and automated distribution to effectively comply with the FCA\u2019s Senior Managers and Certification Regime.<\/p>\n<ul>\n<li class=\"mb-4 text-[#666666] text-[16px] flex-row-reverse flex justify-end items-start\">Assign senior manager functions, log roles, and track responsibilities<\/li>\n<li class=\"mb-4 text-[#666666] text-[16px] flex-row-reverse flex justify-end items-start\">Conduct fitness and propriety assessments, monitor status, and certify senior managers<\/li>\n<li class=\"mb-4 text-[#666666] text-[16px] flex-row-reverse flex justify-end items-start\">Demonstrate firm structure and reporting lines<\/li>\n<\/ul>\n","link":"","media_type":"image","image":{"ID":12752,"id":12752,"title":"Comply SMCR 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Let's show you how. ","content":[{"subhead":"","headline":"Streamline Personal Account Dealing Monitoring ","text":"<p>Manage and monitor your employees\u2019 trade activity to ensure everyone is acting in the best interest of your clients.<\/p>\n<ul>\n<li class=\"mb-4 text-[#666666] text-[16px] flex-row-reverse flex justify-end items-start\">Gain a full view of employee brokerage accounts through the industry\u2019s largest network of direct broker feeds<\/li>\n<li class=\"mb-4 text-[#666666] text-[16px] flex-row-reverse flex justify-end items-start\">Uncover trends through trade activity and reconciliation reports<\/li>\n<li>Easily address, document, and report violations as they occur<\/li>\n<\/ul>\n","link":"","media_type":"image","image":{"ID":12741,"id":12741,"title":"Comply Trade 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20:21:53","menu_order":0,"mime_type":"image\/png","type":"image","subtype":"png","icon":"https:\/\/www.comply.com\/wp-includes\/images\/media\/default.png","width":650,"height":518,"sizes":{"thumbnail":"https:\/\/www.comply.com\/wp-content\/uploads\/2024\/08\/Comply-Control-Room-COI-150x150.png","thumbnail-width":150,"thumbnail-height":150,"medium":"https:\/\/www.comply.com\/wp-content\/uploads\/2024\/08\/Comply-Control-Room-COI-300x239.png","medium-width":300,"medium-height":239,"medium_large":"https:\/\/www.comply.com\/wp-content\/uploads\/2024\/08\/Comply-Control-Room-COI.png","medium_large-width":650,"medium_large-height":518,"large":"https:\/\/www.comply.com\/wp-content\/uploads\/2024\/08\/Comply-Control-Room-COI.png","large-width":650,"large-height":518,"1536x1536":"https:\/\/www.comply.com\/wp-content\/uploads\/2024\/08\/Comply-Control-Room-COI.png","1536x1536-width":650,"1536x1536-height":518,"2048x2048":"https:\/\/www.comply.com\/wp-content\/uploads\/2024\/08\/Comply-Control-Room-COI.png","2048x2048-width":650,"2048x2048-height":518,"menu-24x24":"https:\/\/www.comply.com\/wp-content\/uploads\/2024\/08\/Comply-Control-Room-COI-24x19.png","menu-24x24-width":24,"menu-24x24-height":19,"menu-36x36":"https:\/\/www.comply.com\/wp-content\/uploads\/2024\/08\/Comply-Control-Room-COI-36x29.png","menu-36x36-width":36,"menu-36x36-height":29,"menu-48x48":"https:\/\/www.comply.com\/wp-content\/uploads\/2024\/08\/Comply-Control-Room-COI-48x38.png","menu-48x48-width":48,"menu-48x48-height":38}},"video":"q56907cwto"},{"subhead":"","headline":"Deliver a Modern Preclearance User Experience","text":"<p>Empower your employees with an simple, intuitive preclearance request process for trades, outside business activities, gifts and entertainment, digital assets, and more.<\/p>\n<ul>\n<li>Create custom forms or leverage out-of-the-box preclearance templates<\/li>\n<li>Standardize and automate workflows and restricted lists<\/li>\n<li>Deliver an exceptional user experience with 99.9% platform uptime<\/li>\n<\/ul>\n","link":"","media_type":"image","image":{"ID":12992,"id":12992,"title":"Comply Trade Monitoring - Preclearance and OBAs 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17:48:31","menu_order":0,"mime_type":"image\/png","type":"image","subtype":"png","icon":"https:\/\/www.comply.com\/wp-includes\/images\/media\/default.png","width":2497,"height":1684,"sizes":{"thumbnail":"https:\/\/www.comply.com\/wp-content\/uploads\/2025\/09\/Comply-Trade-Monitoring-Preclearance-and-OBAs-copy-150x150.png","thumbnail-width":150,"thumbnail-height":150,"medium":"https:\/\/www.comply.com\/wp-content\/uploads\/2025\/09\/Comply-Trade-Monitoring-Preclearance-and-OBAs-copy-300x202.png","medium-width":300,"medium-height":202,"medium_large":"https:\/\/www.comply.com\/wp-content\/uploads\/2025\/09\/Comply-Trade-Monitoring-Preclearance-and-OBAs-copy-768x518.png","medium_large-width":768,"medium_large-height":518,"large":"https:\/\/www.comply.com\/wp-content\/uploads\/2025\/09\/Comply-Trade-Monitoring-Preclearance-and-OBAs-copy-1024x691.png","large-width":1024,"large-height":691,"1536x1536":"https:\/\/www.comply.com\/wp-content\/uploads\/2025\/09\/Comply-Trade-Monitoring-Preclearance-and-OBAs-copy-1536x1036.png","1536x1536-width":1536,"1536x1536-height":1036,"2048x2048":"https:\/\/www.comply.com\/wp-content\/uploads\/2025\/09\/Comply-Trade-Monitoring-Preclearance-and-OBAs-copy-2048x1381.png","2048x2048-width":2048,"2048x2048-height":1381,"menu-24x24":"https:\/\/www.comply.com\/wp-content\/uploads\/2025\/09\/Comply-Trade-Monitoring-Preclearance-and-OBAs-copy-24x16.png","menu-24x24-width":24,"menu-24x24-height":16,"menu-36x36":"https:\/\/www.comply.com\/wp-content\/uploads\/2025\/09\/Comply-Trade-Monitoring-Preclearance-and-OBAs-copy-36x24.png","menu-36x36-width":36,"menu-36x36-height":24,"menu-48x48":"https:\/\/www.comply.com\/wp-content\/uploads\/2025\/09\/Comply-Trade-Monitoring-Preclearance-and-OBAs-copy-48x32.png","menu-48x48-width":48,"menu-48x48-height":32}},"video":"q56907cwto"},{"subhead":"","headline":"Orchestrate Your Compliance Program","text":"<p>Stay on-task and ahead of risk with an all-in-one solution for compliance program management.<\/p>\n<ul>\n<li class=\"mb-4 text-[#666666] text-[16px] flex-row-reverse flex justify-end items-start\">Assess risks and ensure you&#8217;re exam ready with an integrated risk assessment tool<\/li>\n<li class=\"mb-4 text-[#666666] text-[16px] flex-row-reverse flex justify-end items-start\">Conduct your Annual Review using a guided submission process<\/li>\n<li>Easily update your firm&#8217;s Policies and Procedures to address new rules and changes in regulations<\/li>\n<li>Manage compliance activities using a bespoke compliance calendar<\/li>\n<\/ul>\n","link":"","media_type":"image","image":{"ID":11594,"id":11594,"title":"Who We Serve - PF - Annual Review and 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360-Degree Compliance","text":"<p>Establish full visibility into your compliance program and day-to-day compliance tasks.<\/p>\n<ul>\n<li>Gain immediate insights and actions directly from your dashboard<\/li>\n<li>Easily export visual analytics, dashboards, and ad-hoc reports<\/li>\n<li>Document and provide a full audit trail for stakeholders and regulators<\/li>\n<\/ul>\n","link":"","media_type":"image","image":{"ID":12737,"id":12737,"title":"Comply Compliance Calendar","filename":"Comply-Compliance-Calendar.png","filesize":52405,"url":"https:\/\/www.comply.com\/wp-content\/uploads\/2024\/08\/Comply-Compliance-Calendar.png","link":"https:\/\/www.comply.com\/en-gb\/products\/complysci\/comply-compliance-calendar-2\/","alt":"","author":"12","description":"","caption":"","name":"comply-compliance-calendar-2","status":"inherit","uploaded_to":12234,"date":"2025-09-29 17:48:02","modified":"2025-09-29 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and Track Certifications and Attestations","text":"<p>As new policies are created or updated, easily build certifications for employees to attest.<\/p>\n<ul>\n<li class=\"mb-4 text-[#666666] text-[16px] flex-row-reverse flex justify-end items-start\">Understand which employees have outstanding certifications and send follow-ups as needed<\/li>\n<li class=\"mb-4 text-[#666666] text-[16px] flex-row-reverse flex justify-end items-start\">Automatically monitor questions to flag unexpected responses and set up conditional questions to make informed compliance decisions<\/li>\n<li>Export a full audit trail of all compliance activities<\/li>\n<\/ul>\n","link":"","media_type":"image","image":{"ID":12744,"id":12744,"title":"Comply Platform 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your SMCR Program","text":"<p>Leverage digital processes and automated distribution to effectively comply with the FCA\u2019s Senior Managers and Certification Regime.<\/p>\n<ul>\n<li class=\"mb-4 text-[#666666] text-[16px] flex-row-reverse flex justify-end items-start\">Assign senior manager functions, log roles, and track responsibilities<\/li>\n<li class=\"mb-4 text-[#666666] text-[16px] flex-row-reverse flex justify-end items-start\">Conduct fitness and propriety assessments, monitor status, and certify senior managers<\/li>\n<li class=\"mb-4 text-[#666666] text-[16px] flex-row-reverse flex justify-end items-start\">Demonstrate firm structure and reporting lines<\/li>\n<\/ul>\n","link":"","media_type":"image","image":{"ID":12752,"id":12752,"title":"Comply SMCR 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Critical information security practices like software development and infrastructure security are regularly reviewed by independent information security organizations.<\/p>\n","accordion_button":{"title":"DOWNLOAD NOW","url":"\/wp-content\/uploads\/2024\/10\/Comply_SecurityEcosystem_09-23_Final.pdf","target":"_blank"}},{"accordion_image":false,"accordion_title":"Certifications and Attestations","accordion_text":"<p>The ComplySci\u00ae Platform is the industry\u2019s most innovative compliance and risk management solution. It was built to help compliance officers stay ahead of risk by monitoring, managing, and reporting on conflicts of interest arising from their employees.<\/p>\n","accordion_button":{"title":"DOWNLOAD NOW","url":"\/wp-content\/uploads\/2024\/10\/CSI_CertificationsAttestations.pdf","target":"_blank"}},{"accordion_image":false,"accordion_title":"Senior Managers and Certification Regime (SMCR) Module","accordion_text":"<p>The SMCR Module on the ComplySci\u00ae Platform help regulated firms facilitate and manage the requirements of the FCA\u2019s Senior Managers and Certification Regime (SMCR).<\/p>\n","accordion_button":{"title":"DOWNLOAD NOW","url":"\/wp-content\/uploads\/2024\/10\/CSI_SMCRModule.pdf","target":"_blank"}},{"accordion_image":false,"accordion_title":"Strategic Integration: DealCloud","accordion_text":"<p>Don\u2019t let conflicts slip through the cracks. Leverage strategic integrations to gain a 360-degree view of individual- and firm-based conflicts.<\/p>\n","accordion_button":{"title":"DOWNLOAD NOW","url":"\/wp-content\/uploads\/2024\/10\/CSI_DealCloudIntegration.pdf","target":"_blank"}},{"accordion_image":false,"accordion_title":"The ComplySci\u00ae Platform Rules Library","accordion_text":"<p>Developed with our more than 7,000 customers, the ComplySci\u00ae Platform library of trade and non-trade related rules are easily configured to address a variety of compliance policies.<\/p>\n","accordion_button":{"title":"DOWNLOAD NOW","url":"\/wp-content\/uploads\/2024\/10\/CSI_RulesLibrary.pdf","target":"_blank"}},{"accordion_image":false,"accordion_title":"Undisclosed Account Alerts","accordion_text":"<p>Undisclosed Account Alerts on the ComplySci\u00ae Platform help firms mitigate risk related to undisclosed account violations. Proactively identify and reconcile brokerage accounts employees have failed to disclose, giving compliance teams peace of mind and comprehensive activity tracking.<\/p>\n","accordion_button":{"title":"DOWNLOAD NOW","url":"\/wp-content\/uploads\/2024\/10\/CSI_UndisclosedAccountAlerts.pdf","target":"_blank"}},{"accordion_image":false,"accordion_title":"Comply\u2122 Program Management","accordion_text":"<p>Comply Program Management is a centralized, comprehensive platform for managing the full scope of a firm\u2019s compliance program.<\/p>\n","accordion_button":{"title":"DOWNLOAD NOW","url":"\/wp-content\/uploads\/2024\/10\/CSI_ComplyProgramManagement.pdf","target":"_blank"}},{"accordion_image":false,"accordion_title":"The ComplySci\u00ae Platform Overview U.S.","accordion_text":"<p>The ComplySci Platform is a comprehensive, mobile-responsive compliance software solution built for monitoring Code of Ethics requirements and tracking employee activities against U.S. rules and regulations.<\/p>\n","accordion_button":{"title":"DOWNLOAD NOW","url":"\/wp-content\/uploads\/2024\/10\/CSI_ComplySciOverviewUS.pdf","target":"_blank"}},{"accordion_image":false,"accordion_title":"Broker Feed List","accordion_text":"<p>Power your compliance program with 300+ direct broker feeds.<\/p>\n","accordion_button":{"title":"DOWNLOAD NOW","url":"\/wp-content\/uploads\/2024\/10\/Comply_CSI-direct-feeds.pdf","target":"_blank"}}],"accordion_2_headline":"FAQs","accordion_2":[{"accordion_image":false,"accordion_title":"What type of firms benefit from ComplySci's compliance program management software?","accordion_text":"<p>ComplySci\u2019s compliance program management offerings are designed for the financial services and wealth management industry, including broker-dealers, hedge funds, global institutions, registered investment advisers, private markets, and public companies.<\/p>\n","accordion_button":""},{"accordion_image":false,"accordion_title":"Why do I need financial regulatory compliance software?","accordion_text":"<div class=\"rte__block rte__top-level-block rte__block--is-first rte__block--id-18ru5 rte__text-block rte__paragraph\" data-block=\"true\" data-editor=\"bf65v\" data-offset-key=\"18ru5-0-0\">\n<div class=\"public-DraftStyleDefault-block public-DraftStyleDefault-ltr\" data-offset-key=\"18ru5-0-0\"><span data-offset-key=\"18ru5-0-0\">Your firm\u2019s regulatory compliance program keeps your firm functional, ensuring you meet regulatory requirements and standards of conduct, mitigating financial, reputational, and regulatory consequences of a compliance violation.<br \/>\n<\/span><\/div>\n<div data-offset-key=\"18ru5-0-0\"><\/div>\n<\/div>\n<div class=\"rte__block rte__top-level-block rte__block--id-2o293 rte__text-block rte__paragraph\" data-block=\"true\" data-editor=\"bf65v\" data-offset-key=\"2o293-0-0\">\n<div class=\"public-DraftStyleDefault-block public-DraftStyleDefault-ltr\" data-offset-key=\"2o293-0-0\"><span data-offset-key=\"2o293-0-0\">In fact, financial regulatory compliance software can help you:<\/span><\/div>\n<\/div>\n<div class=\"rte__block rte__top-level-block rte__block--id-1k464 rte__text-block rte__list-item rte__list-item--depth0 rte__ulist-item\" data-block=\"true\" data-editor=\"bf65v\" data-offset-key=\"1k464-0-0\">\n<ul>\n<li class=\"public-DraftStyleDefault-block public-DraftStyleDefault-ltr\" data-offset-key=\"1k464-0-0\"><span data-offset-key=\"1k464-0-0\">Automate manual, time-consuming activities, which eat away at your day and make it difficult to focus on big-picture priorities<\/span><\/li>\n<li class=\"public-DraftStyleDefault-block public-DraftStyleDefault-ltr\" data-offset-key=\"1k464-0-0\">Determine gaps in your compliance program, which could leave you open to risk<\/li>\n<li class=\"public-DraftStyleDefault-block public-DraftStyleDefault-ltr\" data-offset-key=\"1k464-0-0\">Report on all compliance activities, providing an audit trail for your firm and any regulatory body<\/li>\n<li class=\"public-DraftStyleDefault-block public-DraftStyleDefault-ltr\" data-offset-key=\"1k464-0-0\">Ensure your compliance program is functioning at the optimal level<\/li>\n<\/ul>\n<\/div>\n","accordion_button":""},{"accordion_image":false,"accordion_title":"Who are ComplySci's solutions and services designed for? ","accordion_text":"<p>ComplySci\u2019s compliance technology, consulting, and education offerings are designed to safeguard financial services firms, including hedge funds, private equity firms, broker-dealers, and investment advisers, around the world. With more than 7,000 clients in 61 countries, we can create a customizable solution to strengthen your firm\u2019s compliance program.<\/p>\n","accordion_button":""},{"accordion_image":false,"accordion_title":"How do I contact customer support?","accordion_text":"<p><span data-offset-key=\"adehi-0-0\">Comply provides 24\/5 support and unparalleled in-house expertise, your program is our priority from the moment you being the onboarding process. That\u2019s our promise to you. You can contact Comply\u2019s support team\u00a0<\/span><strong><a href=\"https:\/\/www.comply.com\/support\/\"><span class=\"rte__bold\" data-offset-key=\"adehi-1-0\">here<\/span><span class=\"rte__bold\" data-offset-key=\"adehi-2-0\">.<\/span><\/a><\/strong><\/p>\n","accordion_button":""},{"accordion_image":false,"accordion_title":"How long does onboarding usually take?","accordion_text":"<div class=\"rte__block rte__top-level-block rte__block--is-first rte__block--id-adehi rte__text-block rte__paragraph\" data-block=\"true\" data-editor=\"aroap\" data-offset-key=\"adehi-0-0\">\n<div class=\"public-DraftStyleDefault-block public-DraftStyleDefault-ltr\" data-offset-key=\"adehi-0-0\"><span data-offset-key=\"adehi-0-0\">Comply\u2019s onboarding team will be there with you every step of the way, working with you to create a plan which addresses your company\u2019s unique needs. During onboarding the team will load data, configure the system to your use case and help set up integrations. The team will also provide guided instruction of broker feed outreach and assist with establishing broker feeds.\u00a0Onboarding is concluded with supervisor training and assisting your organization go live on the platform.<\/span><\/div>\n<div data-offset-key=\"adehi-0-0\"><\/div>\n<\/div>\n<div class=\"rte__block rte__top-level-block rte__block--is-last rte__block--id-7ipb2 rte__text-block rte__paragraph\" data-block=\"true\" data-editor=\"aroap\" data-offset-key=\"7ipb2-0-0\">\n<div class=\"public-DraftStyleDefault-block public-DraftStyleDefault-ltr\" data-offset-key=\"7ipb2-0-0\"><span data-offset-key=\"7ipb2-0-0\">Typical onboarding takes approximately 6-8 weeks.\u00a0For larger clients onboarding is scoped to meet your company\u2019s unique needs.<\/span><\/div>\n<\/div>\n","accordion_button":""}]}},"hero":{"hero_group":{"show_section":true,"logo":false,"hero_subhead":"Formerly ComplySci","hero_headline":"360-Degree Regulatory Compliance for Financial Services","hero_text":"<p>Scale your compliance strategy with a modern, easy-to-use platform that addresses the complex regulatory compliance needs of asset and investment managers, wealth managers, trading firms, investment banks and insurance companies.<\/p>\n","hero_button":{"title":"Schedule a Demo","url":"https:\/\/www.comply.com\/en-gb\/book-a-demo\/","target":""},"awards":false,"hero_image":{"ID":12868,"id":12868,"title":"Business people discussing in a meeting room","filename":"iStock-2158074304.jpg","filesize":372071,"url":"https:\/\/www.comply.com\/wp-content\/uploads\/2024\/08\/iStock-2158074304.jpg","link":"https:\/\/www.comply.com\/en-gb\/products\/complysci\/business-people-discussing-in-a-meeting-room-2\/","alt":"","author":"4","description":"","caption":"Business people discussing in a meeting room","name":"business-people-discussing-in-a-meeting-room-2","status":"inherit","uploaded_to":12234,"date":"2025-09-30 20:31:03","modified":"2025-10-05 17:48:31","menu_order":0,"mime_type":"image\/jpeg","type":"image","subtype":"jpeg","icon":"https:\/\/www.comply.com\/wp-includes\/images\/media\/default.png","width":1254,"height":836,"sizes":{"thumbnail":"https:\/\/www.comply.com\/wp-content\/uploads\/2024\/08\/iStock-2158074304-150x150.jpg","thumbnail-width":150,"thumbnail-height":150,"medium":"https:\/\/www.comply.com\/wp-content\/uploads\/2024\/08\/iStock-2158074304-300x200.jpg","medium-width":300,"medium-height":200,"medium_large":"https:\/\/www.comply.com\/wp-content\/uploads\/2024\/08\/iStock-2158074304-768x512.jpg","medium_large-width":768,"medium_large-height":512,"large":"https:\/\/www.comply.com\/wp-content\/uploads\/2024\/08\/iStock-2158074304-1024x683.jpg","large-width":1024,"large-height":683,"1536x1536":"https:\/\/www.comply.com\/wp-content\/uploads\/2024\/08\/iStock-2158074304.jpg","1536x1536-width":1254,"1536x1536-height":836,"2048x2048":"https:\/\/www.comply.com\/wp-content\/uploads\/2024\/08\/iStock-2158074304.jpg","2048x2048-width":1254,"2048x2048-height":836,"menu-24x24":"https:\/\/www.comply.com\/wp-content\/uploads\/2024\/08\/iStock-2158074304-24x16.jpg","menu-24x24-width":24,"menu-24x24-height":16,"menu-36x36":"https:\/\/www.comply.com\/wp-content\/uploads\/2024\/08\/iStock-2158074304-36x24.jpg","menu-36x36-width":36,"menu-36x36-height":24,"menu-48x48":"https:\/\/www.comply.com\/wp-content\/uploads\/2024\/08\/iStock-2158074304-48x32.jpg","menu-48x48-width":48,"menu-48x48-height":32}}}},"quote_wrap_group":{"show_section":true,"image":false,"full_size_quote":true,"quote_text":"\u201cMoving to Comply has allowed us to do more complex monitoring. The customisation is incredible. Comply is as customisable as you want it to be.\u201d","quote_author_name":"Chief Compliance Officer, UK Hedge Fund","show_stats":false,"stats_list":false},"quote_wrap":{"quote_wrap_group":{"show_section":true,"image":false,"full_size_quote":true,"quote_text":"\u201cMoving to Comply has allowed us to do more complex monitoring. The customisation is incredible. Comply is as customisable as you want it to be.\u201d","quote_author_name":"Chief Compliance Officer, UK Hedge Fund","show_stats":false,"stats_list":false}},"faqs_group":{"show_section":true,"sub_head":"DOCUMENTS & FAQS","headline":"Your questions? Answered.","text":"<p>Check out some of our most commonly asked questions, as well as the Comply (formerly ComplySci) resources to discover more about what makes Comply the most powerful compliance solution on the market. And how we can help you Comply with confidence.<\/p>\n","button":{"title":"SCHEDULE A DEMO","url":"https:\/\/www.comply.com\/en-gb\/book-a-demo\/","target":""},"tabbed_faqs":true,"faqs":false,"tab_faqs":[{"tab_title":"Supporting Documents","faqs":[{"question":"Solutions for Small and Medium-Sized Investment Advisers","answer":"<p>Integrating compliance processes onto one software platform, including <a href=\"https:\/\/www.comply.com\/solutions\/communications-archiving-review-204-2-compliance\/\">archiving and communication<\/a>, <a href=\"https:\/\/www.comply.com\/solutions\/cybersecurity-outsourced-it\/\">cybersecurity<\/a>, and <a href=\"https:\/\/www.comply.com\/solutions\/vendor-due-diligence\/\">vendor due diligence<\/a>, enable small- and medium-sized firms to achieve the highest standard of compliance. These capabilities are the foundation for your compliance strategy and empower you to do more with less.<\/p>\n","link":{"title":"Download now","url":"\/wp-content\/uploads\/2024\/10\/CSI_SolutionsForSMB.pdf","target":"_blank"}},{"question":"Comply Digital Asset Trade Monitoring","answer":"<p>The first and only <a href=\"https:\/\/www.comply.com\/solutions\/coe-conflicts-of-interest-personal-trading\/\">end-to-end compliance software to pre-clear, monitor, verify<\/a> and report employees&#8217; cryptocurrency transactions.<\/p>\n","link":{"title":"Download now","url":"\/wp-content\/uploads\/2024\/10\/Comply_DigitalAssetMonitoring_12-23-1.pdf","target":"_blank"}},{"question":"The ComplySci\u00ae Platform Overview UK","answer":"<p>The ComplySci Platform is a comprehensive solution built for monitoring Code of Ethics requirements and <a href=\"https:\/\/www.comply.com\/solutions\/smcr-compliance\/\">tracking employee activity <\/a>against UK rules and regulations.<\/p>\n","link":{"title":"Download now","url":"\/wp-content\/uploads\/2024\/10\/CSI_ComplySciOverviewUK.pdf","target":"_blank"}},{"question":"The ComplySci\u00ae Platform Overview US","answer":"<p>The ComplySci Platform is a comprehensive, mobile-responsive compliance software solution built for <a href=\"https:\/\/www.comply.com\/solutions\/coe-conflicts-of-interest-personal-trading\/\">monitoring Code of Ethics requirements<\/a> and tracking employee activities against U.S. rules and regulations.<\/p>\n","link":{"title":"Download now","url":"\/wp-content\/uploads\/2024\/10\/CSI_ComplySciOverviewUS.pdf","target":"_blank"}},{"question":"Roles, Groups, Scopes, and Workflows","answer":"<p>Categorizing employees by their roles, responsibilities, and reporting structure is foundational to compliance. After all, the compliance oversight of employees depends largely on how they have been identified and categorized within the enterprise.<\/p>\n","link":{"title":"Download now","url":"\/wp-content\/uploads\/2024\/10\/CSI_RolesGroupsScopesWorkflows.pdf","target":"_blank"}},{"question":"ComplySci\u00ae Interoperability","answer":"<p>Secure, powerful REST APIs allow for programmatic access to our employee <a href=\"https:\/\/www.comply.com\/solutions\/coe-conflicts-of-interest-personal-trading\/\">Code of Ethics services<\/a>, facilitating data connections between the ComplySci Platform and data platforms used by your firm.<\/p>\n","link":{"title":"Download now","url":"\/wp-content\/uploads\/2024\/10\/CSI_DataInteroperability.pdf","target":"_blank"}},{"question":"Case Management","answer":"<p>Quickly uncover all information related to a potential compliance violation, respond, and document, all within the ComplySci Platform.<\/p>\n","link":{"title":"Download now","url":"\/wp-content\/uploads\/2024\/10\/CSI_CaseManagement-1.pdf","target":"_blank"}},{"question":"Resource Center","answer":"<p>Our Resource Center gives your compliance team access to a world of knowledge right at your fingertips. You can learn more about the ComplySci\u00ae Platform and associated modules in whatever manner suits you best, including a variety of knowledge articles, our latest release notes, or video tutorials and past webinars recorded by our product experts.<\/p>\n","link":{"title":"Download now","url":"\/wp-content\/uploads\/2024\/10\/CSI_ResourceCenter.pdf","target":"_blank"}},{"question":"Marketing Materials","answer":"<p>With the Marketing Materials solution on the ComplySci\u00ae Platform, firms can manage the submission, review, approval, and archiving of any external facing materials through the same preclearance and documentation workflow used for other compliance activities.<\/p>\n","link":{"title":"Download now","url":"\/wp-content\/uploads\/2024\/10\/CSI_MarketingMaterials.pdf","target":"_blank"}},{"question":"Security Ecosystem","answer":"<p>Comply implements security at all levels of the infrastructure stack and employs the latest technologies to safeguard client information. Critical information security practices like software development and infrastructure security are regularly reviewed by independent information security organizations.<\/p>\n","link":{"title":"Download now","url":"\/wp-content\/uploads\/2024\/10\/Comply_SecurityEcosystem_09-23_Final.pdf","target":"_blank"}},{"question":"Certifications and Attestations","answer":"<p>The ComplySci\u00ae Platform is the industry\u2019s most innovative compliance and risk management solution. It was built to help compliance officers <a href=\"https:\/\/www.comply.com\/solutions\/coe-conflicts-of-interest-personal-trading\/\">stay ahead of risk by monitoring, managing, and reporting<\/a> on conflicts of interest arising from their employees.<\/p>\n","link":{"title":"Download now","url":"\/wp-content\/uploads\/2024\/10\/CSI_CertificationsAttestations.pdf","target":"_blank"}},{"question":"Senior Managers and Certification Regime (SMCR) Module","answer":"<p><a href=\"https:\/\/www.comply.com\/solutions\/smcr-compliance\/\">The SMCR Module<\/a> on the ComplySci\u00ae Platform help regulated firms facilitate and manage the requirements of the FCA\u2019s Senior Managers and Certification Regime (SMCR).<\/p>\n","link":{"title":"Download now","url":"\/wp-content\/uploads\/2024\/10\/CSI_SMCRModule.pdf","target":"_blank"}},{"question":"Strategic Integration: DealCloud","answer":"<p>Don\u2019t let conflicts slip through the cracks. Leverage strategic integrations to gain a 360-degree view of individual- and firm-based conflicts.<\/p>\n","link":{"title":"Download now","url":"\/wp-content\/uploads\/2024\/10\/CSI_DealCloudIntegration.pdf","target":"_blank"}},{"question":"The ComplySci\u00ae Platform Rules Library","answer":"<p>Developed with our more than 7,000 customers, the ComplySci\u00ae Platform library of trade and non-trade related rules are easily configured to address a variety of compliance policies.<\/p>\n","link":{"title":"Download now","url":"\/wp-content\/uploads\/2024\/10\/CSI_RulesLibrary.pdf","target":"_blank"}},{"question":"Undisclosed Account Alerts","answer":"<p>Undisclosed Account Alerts on the ComplySci\u00ae Platform help firms mitigate risk related to undisclosed account violations. Proactively identify and reconcile brokerage accounts employees have failed to disclose, giving compliance teams peace of mind and comprehensive activity tracking.<\/p>\n","link":{"title":"Download now","url":"\/wp-content\/uploads\/2024\/10\/CSI_UndisclosedAccountAlerts.pdf","target":"_blank"}},{"question":"Comply\u2122 Program Management","answer":"<p><a href=\"https:\/\/www.comply.com\/solutions\/compliance-program-management\/\">Comply Program Management<\/a> is a centralized, comprehensive platform for managing the full scope of a firm\u2019s compliance program.<\/p>\n","link":{"title":"Download now","url":"\/wp-content\/uploads\/2024\/10\/CSI_ComplyProgramManagement.pdf","target":"_blank"}}]},{"tab_title":"Frequently Asked Questions","faqs":[{"question":"What type of firms benefit from ComplySci's compliance program management software?","answer":"<p>ComplySci\u2019s compliance program management offerings are designed for the financial services and wealth management industry, including broker-dealers, hedge funds, global institutions, registered investment advisers, private markets, and public companies.<\/p>\n","link":""},{"question":"Why do I need financial regulatory compliance software?","answer":"<p>Your firm\u2019s regulatory compliance program keeps your firm functional, ensuring you meet regulatory requirements and standards of conduct, mitigating financial, reputational, and regulatory consequences of a compliance violation.<\/p>\n<p>In fact, financial regulatory compliance software can help you:<\/p>\n<ul>\n<li>Automate <a href=\"https:\/\/www.comply.com\/solutions\/regulatory-filings\/\">manual, time-consuming activities,<\/a> which eat away at your day and make it difficult to focus on big-picture priorities<\/li>\n<li>Determine gaps in your compliance program, which could leave you open to risk<\/li>\n<li>Report on all compliance activities, providing an audit trail for your firm and any regulatory body<\/li>\n<li>Ensure your compliance program is functioning at the optimal level<\/li>\n<\/ul>\n","link":""},{"question":"Who are ComplySci's solutions and services designed for? ","answer":"<p>ComplySci\u2019s compliance technology, <a href=\"https:\/\/www.comply.com\/solutions\/independent-compliance-consultant\/\">consulting<\/a>, and <a href=\"https:\/\/www.comply.com\/solutions\/iar-ce-aml-training\/\">education offerings<\/a> are designed to safeguard financial services firms, including hedge funds, private equity firms, broker-dealers, and investment advisers, around the world. With more than 7,000 clients in 61 countries, we can create a customizable solution to strengthen your firm\u2019s compliance program.<\/p>\n","link":""},{"question":"How do I contact customer support?","answer":"<p>Comply provides 24\/5 support and unparalleled in-house expertise, your program is our priority from the moment you being the onboarding process. That\u2019s our promise to you. You can contact Comply\u2019s support team <a href=\"https:\/\/www.comply.com\/support\/\">here.<\/a><\/p>\n","link":""},{"question":"How long does onboarding usually take?","answer":"<p>Comply\u2019s onboarding team will be there with you every step of the way, working with you to create a plan which addresses your company\u2019s unique needs. During onboarding the team will load data, configure the system to your use case and help set up integrations. The team will also provide guided instruction of broker feed outreach and assist with establishing broker feeds.\u00a0Onboarding is concluded with supervisor training and assisting your organization go live on the platform.<\/p>\n<p>Typical onboarding takes approximately 6-8 weeks.\u00a0For larger clients onboarding is scoped to meet your company\u2019s unique needs.<\/p>\n","link":""}]}]},"faqs":{"faqs_group":{"show_section":true,"sub_head":"DOCUMENTS & FAQS","headline":"Your questions? Answered.","text":"<p>Check out some of our most commonly asked questions, as well as the Comply (formerly ComplySci) resources to discover more about what makes Comply the most powerful compliance solution on the market. And how we can help you Comply with confidence.<\/p>\n","button":{"title":"SCHEDULE A DEMO","url":"https:\/\/www.comply.com\/en-gb\/book-a-demo\/","target":""},"tabbed_faqs":true,"faqs":false,"tab_faqs":[{"tab_title":"Supporting Documents","faqs":[{"question":"Solutions for Small and Medium-Sized Investment Advisers","answer":"<p>Integrating compliance processes onto one software platform, including <a href=\"https:\/\/www.comply.com\/solutions\/communications-archiving-review-204-2-compliance\/\">archiving and communication<\/a>, <a href=\"https:\/\/www.comply.com\/solutions\/cybersecurity-outsourced-it\/\">cybersecurity<\/a>, and <a href=\"https:\/\/www.comply.com\/solutions\/vendor-due-diligence\/\">vendor due diligence<\/a>, enable small- and medium-sized firms to achieve the highest standard of compliance. These capabilities are the foundation for your compliance strategy and empower you to do more with less.<\/p>\n","link":{"title":"Download now","url":"\/wp-content\/uploads\/2024\/10\/CSI_SolutionsForSMB.pdf","target":"_blank"}},{"question":"Comply Digital Asset Trade Monitoring","answer":"<p>The first and only <a href=\"https:\/\/www.comply.com\/solutions\/coe-conflicts-of-interest-personal-trading\/\">end-to-end compliance software to pre-clear, monitor, verify<\/a> and report employees&#8217; cryptocurrency transactions.<\/p>\n","link":{"title":"Download now","url":"\/wp-content\/uploads\/2024\/10\/Comply_DigitalAssetMonitoring_12-23-1.pdf","target":"_blank"}},{"question":"The ComplySci\u00ae Platform Overview UK","answer":"<p>The ComplySci Platform is a comprehensive solution built for monitoring Code of Ethics requirements and <a href=\"https:\/\/www.comply.com\/solutions\/smcr-compliance\/\">tracking employee activity <\/a>against UK rules and regulations.<\/p>\n","link":{"title":"Download now","url":"\/wp-content\/uploads\/2024\/10\/CSI_ComplySciOverviewUK.pdf","target":"_blank"}},{"question":"The ComplySci\u00ae Platform Overview US","answer":"<p>The ComplySci Platform is a comprehensive, mobile-responsive compliance software solution built for <a href=\"https:\/\/www.comply.com\/solutions\/coe-conflicts-of-interest-personal-trading\/\">monitoring Code of Ethics requirements<\/a> and tracking employee activities against U.S. rules and regulations.<\/p>\n","link":{"title":"Download now","url":"\/wp-content\/uploads\/2024\/10\/CSI_ComplySciOverviewUS.pdf","target":"_blank"}},{"question":"Roles, Groups, Scopes, and Workflows","answer":"<p>Categorizing employees by their roles, responsibilities, and reporting structure is foundational to compliance. After all, the compliance oversight of employees depends largely on how they have been identified and categorized within the enterprise.<\/p>\n","link":{"title":"Download now","url":"\/wp-content\/uploads\/2024\/10\/CSI_RolesGroupsScopesWorkflows.pdf","target":"_blank"}},{"question":"ComplySci\u00ae Interoperability","answer":"<p>Secure, powerful REST APIs allow for programmatic access to our employee <a href=\"https:\/\/www.comply.com\/solutions\/coe-conflicts-of-interest-personal-trading\/\">Code of Ethics services<\/a>, facilitating data connections between the ComplySci Platform and data platforms used by your firm.<\/p>\n","link":{"title":"Download now","url":"\/wp-content\/uploads\/2024\/10\/CSI_DataInteroperability.pdf","target":"_blank"}},{"question":"Case Management","answer":"<p>Quickly uncover all information related to a potential compliance violation, respond, and document, all within the ComplySci Platform.<\/p>\n","link":{"title":"Download now","url":"\/wp-content\/uploads\/2024\/10\/CSI_CaseManagement-1.pdf","target":"_blank"}},{"question":"Resource Center","answer":"<p>Our Resource Center gives your compliance team access to a world of knowledge right at your fingertips. You can learn more about the ComplySci\u00ae Platform and associated modules in whatever manner suits you best, including a variety of knowledge articles, our latest release notes, or video tutorials and past webinars recorded by our product experts.<\/p>\n","link":{"title":"Download now","url":"\/wp-content\/uploads\/2024\/10\/CSI_ResourceCenter.pdf","target":"_blank"}},{"question":"Marketing Materials","answer":"<p>With the Marketing Materials solution on the ComplySci\u00ae Platform, firms can manage the submission, review, approval, and archiving of any external facing materials through the same preclearance and documentation workflow used for other compliance activities.<\/p>\n","link":{"title":"Download now","url":"\/wp-content\/uploads\/2024\/10\/CSI_MarketingMaterials.pdf","target":"_blank"}},{"question":"Security Ecosystem","answer":"<p>Comply implements security at all levels of the infrastructure stack and employs the latest technologies to safeguard client information. Critical information security practices like software development and infrastructure security are regularly reviewed by independent information security organizations.<\/p>\n","link":{"title":"Download now","url":"\/wp-content\/uploads\/2024\/10\/Comply_SecurityEcosystem_09-23_Final.pdf","target":"_blank"}},{"question":"Certifications and Attestations","answer":"<p>The ComplySci\u00ae Platform is the industry\u2019s most innovative compliance and risk management solution. It was built to help compliance officers <a href=\"https:\/\/www.comply.com\/solutions\/coe-conflicts-of-interest-personal-trading\/\">stay ahead of risk by monitoring, managing, and reporting<\/a> on conflicts of interest arising from their employees.<\/p>\n","link":{"title":"Download now","url":"\/wp-content\/uploads\/2024\/10\/CSI_CertificationsAttestations.pdf","target":"_blank"}},{"question":"Senior Managers and Certification Regime (SMCR) Module","answer":"<p><a href=\"https:\/\/www.comply.com\/solutions\/smcr-compliance\/\">The SMCR Module<\/a> on the ComplySci\u00ae Platform help regulated firms facilitate and manage the requirements of the FCA\u2019s Senior Managers and Certification Regime (SMCR).<\/p>\n","link":{"title":"Download now","url":"\/wp-content\/uploads\/2024\/10\/CSI_SMCRModule.pdf","target":"_blank"}},{"question":"Strategic Integration: DealCloud","answer":"<p>Don\u2019t let conflicts slip through the cracks. Leverage strategic integrations to gain a 360-degree view of individual- and firm-based conflicts.<\/p>\n","link":{"title":"Download now","url":"\/wp-content\/uploads\/2024\/10\/CSI_DealCloudIntegration.pdf","target":"_blank"}},{"question":"The ComplySci\u00ae Platform Rules Library","answer":"<p>Developed with our more than 7,000 customers, the ComplySci\u00ae Platform library of trade and non-trade related rules are easily configured to address a variety of compliance policies.<\/p>\n","link":{"title":"Download now","url":"\/wp-content\/uploads\/2024\/10\/CSI_RulesLibrary.pdf","target":"_blank"}},{"question":"Undisclosed Account Alerts","answer":"<p>Undisclosed Account Alerts on the ComplySci\u00ae Platform help firms mitigate risk related to undisclosed account violations. Proactively identify and reconcile brokerage accounts employees have failed to disclose, giving compliance teams peace of mind and comprehensive activity tracking.<\/p>\n","link":{"title":"Download now","url":"\/wp-content\/uploads\/2024\/10\/CSI_UndisclosedAccountAlerts.pdf","target":"_blank"}},{"question":"Comply\u2122 Program Management","answer":"<p><a href=\"https:\/\/www.comply.com\/solutions\/compliance-program-management\/\">Comply Program Management<\/a> is a centralized, comprehensive platform for managing the full scope of a firm\u2019s compliance program.<\/p>\n","link":{"title":"Download now","url":"\/wp-content\/uploads\/2024\/10\/CSI_ComplyProgramManagement.pdf","target":"_blank"}}]},{"tab_title":"Frequently Asked Questions","faqs":[{"question":"What type of firms benefit from ComplySci's compliance program management software?","answer":"<p>ComplySci\u2019s compliance program management offerings are designed for the financial services and wealth management industry, including broker-dealers, hedge funds, global institutions, registered investment advisers, private markets, and public companies.<\/p>\n","link":""},{"question":"Why do I need financial regulatory compliance software?","answer":"<p>Your firm\u2019s regulatory compliance program keeps your firm functional, ensuring you meet regulatory requirements and standards of conduct, mitigating financial, reputational, and regulatory consequences of a compliance violation.<\/p>\n<p>In fact, financial regulatory compliance software can help you:<\/p>\n<ul>\n<li>Automate <a href=\"https:\/\/www.comply.com\/solutions\/regulatory-filings\/\">manual, time-consuming activities,<\/a> which eat away at your day and make it difficult to focus on big-picture priorities<\/li>\n<li>Determine gaps in your compliance program, which could leave you open to risk<\/li>\n<li>Report on all compliance activities, providing an audit trail for your firm and any regulatory body<\/li>\n<li>Ensure your compliance program is functioning at the optimal level<\/li>\n<\/ul>\n","link":""},{"question":"Who are ComplySci's solutions and services designed for? ","answer":"<p>ComplySci\u2019s compliance technology, <a href=\"https:\/\/www.comply.com\/solutions\/independent-compliance-consultant\/\">consulting<\/a>, and <a href=\"https:\/\/www.comply.com\/solutions\/iar-ce-aml-training\/\">education offerings<\/a> are designed to safeguard financial services firms, including hedge funds, private equity firms, broker-dealers, and investment advisers, around the world. With more than 7,000 clients in 61 countries, we can create a customizable solution to strengthen your firm\u2019s compliance program.<\/p>\n","link":""},{"question":"How do I contact customer support?","answer":"<p>Comply provides 24\/5 support and unparalleled in-house expertise, your program is our priority from the moment you being the onboarding process. That\u2019s our promise to you. You can contact Comply\u2019s support team <a href=\"https:\/\/www.comply.com\/support\/\">here.<\/a><\/p>\n","link":""},{"question":"How long does onboarding usually take?","answer":"<p>Comply\u2019s onboarding team will be there with you every step of the way, working with you to create a plan which addresses your company\u2019s unique needs. During onboarding the team will load data, configure the system to your use case and help set up integrations. The team will also provide guided instruction of broker feed outreach and assist with establishing broker feeds.\u00a0Onboarding is concluded with supervisor training and assisting your organization go live on the platform.<\/p>\n<p>Typical onboarding takes approximately 6-8 weeks.\u00a0For larger clients onboarding is scoped to meet your company\u2019s unique needs.<\/p>\n","link":""}]}]}},"client_logo_group":{"show_section":true,"headline":"From the experts who you brought you ComplySci","logos":[{"image":{"ID":11484,"id":11484,"title":"client-1","filename":"client-1.png","filesize":2514,"url":"https:\/\/www.comply.com\/wp-content\/uploads\/2024\/12\/client-1.png","link":"https:\/\/www.comply.com\/en-gb\/products\/illumis\/client-1\/","alt":"ComplySci Logo","author":"9","description":"","caption":"","name":"client-1","status":"inherit","uploaded_to":876,"date":"2024-12-16 08:53:15","modified":"2024-12-16 08:53:15","menu_order":0,"mime_type":"image\/png","type":"image","subtype":"png","icon":"https:\/\/www.comply.com\/wp-includes\/images\/media\/default.png","width":130,"height":32,"sizes":{"thumbnail":"https:\/\/www.comply.com\/wp-content\/uploads\/2024\/12\/client-1.png","thumbnail-width":130,"thumbnail-height":32,"medium":"https:\/\/www.comply.com\/wp-content\/uploads\/2024\/12\/client-1.png","medium-width":130,"medium-height":32,"medium_large":"https:\/\/www.comply.com\/wp-content\/uploads\/2024\/12\/client-1.png","medium_large-width":130,"medium_large-height":32,"large":"https:\/\/www.comply.com\/wp-content\/uploads\/2024\/12\/client-1.png","large-width":130,"large-height":32,"1536x1536":"https:\/\/www.comply.com\/wp-content\/uploads\/2024\/12\/client-1.png","1536x1536-width":130,"1536x1536-height":32,"2048x2048":"https:\/\/www.comply.com\/wp-content\/uploads\/2024\/12\/client-1.png","2048x2048-width":130,"2048x2048-height":32,"menu-24x24":"https:\/\/www.comply.com\/wp-content\/uploads\/2024\/12\/client-1-24x6.png","menu-24x24-width":24,"menu-24x24-height":6,"menu-36x36":"https:\/\/www.comply.com\/wp-content\/uploads\/2024\/12\/client-1-36x9.png","menu-36x36-width":36,"menu-36x36-height":9,"menu-48x48":"https:\/\/www.comply.com\/wp-content\/uploads\/2024\/12\/client-1-48x12.png","menu-48x48-width":48,"menu-48x48-height":12}}}]},"client_logo":{"client_logo_group":{"show_section":true,"headline":"From the experts who you brought you ComplySci","logos":[{"image":{"ID":11484,"id":11484,"title":"client-1","filename":"client-1.png","filesize":2514,"url":"https:\/\/www.comply.com\/wp-content\/uploads\/2024\/12\/client-1.png","link":"https:\/\/www.comply.com\/en-gb\/products\/illumis\/client-1\/","alt":"ComplySci Logo","author":"9","description":"","caption":"","name":"client-1","status":"inherit","uploaded_to":876,"date":"2024-12-16 08:53:15","modified":"2024-12-16 08:53:15","menu_order":0,"mime_type":"image\/png","type":"image","subtype":"png","icon":"https:\/\/www.comply.com\/wp-includes\/images\/media\/default.png","width":130,"height":32,"sizes":{"thumbnail":"https:\/\/www.comply.com\/wp-content\/uploads\/2024\/12\/client-1.png","thumbnail-width":130,"thumbnail-height":32,"medium":"https:\/\/www.comply.com\/wp-content\/uploads\/2024\/12\/client-1.png","medium-width":130,"medium-height":32,"medium_large":"https:\/\/www.comply.com\/wp-content\/uploads\/2024\/12\/client-1.png","medium_large-width":130,"medium_large-height":32,"large":"https:\/\/www.comply.com\/wp-content\/uploads\/2024\/12\/client-1.png","large-width":130,"large-height":32,"1536x1536":"https:\/\/www.comply.com\/wp-content\/uploads\/2024\/12\/client-1.png","1536x1536-width":130,"1536x1536-height":32,"2048x2048":"https:\/\/www.comply.com\/wp-content\/uploads\/2024\/12\/client-1.png","2048x2048-width":130,"2048x2048-height":32,"menu-24x24":"https:\/\/www.comply.com\/wp-content\/uploads\/2024\/12\/client-1-24x6.png","menu-24x24-width":24,"menu-24x24-height":6,"menu-36x36":"https:\/\/www.comply.com\/wp-content\/uploads\/2024\/12\/client-1-36x9.png","menu-36x36-width":36,"menu-36x36-height":9,"menu-48x48":"https:\/\/www.comply.com\/wp-content\/uploads\/2024\/12\/client-1-48x12.png","menu-48x48-width":48,"menu-48x48-height":12}}}]}},"cta_group":{"show_section":true,"headline":"Your core compliance challenges? 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