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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":{"title":"","url":"","target":"","0":""}},{"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":{"title":"","url":"","target":"","0":""}},{"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":{"title":"","url":"","target":"","0":""}},{"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":{"title":"","url":"","target":"","0":""}},{"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. 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With everything in one place, we have complete oversight of compliance.\"","quote_author_name":"Geoff Lam, Senior Compliance Officer, MarketAxess","show_stats":false,"stats_list":false},"quote_wrap":{"quote_wrap_group":{"show_section":true,"image":false,"full_size_quote":true,"quote_text":"\"We ended up with a streamlined solution to support us to deliver against SMCR with confidence. With everything in one place, we have complete oversight of compliance.\"","quote_author_name":"Geoff Lam, Senior Compliance Officer, MarketAxess","show_stats":false,"stats_list":false}},"faqs_group":{"show_section":true,"sub_head":"","headline":"Comply Platform FAQs","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":"Book a Demo","url":"https:\/\/www.comply.com\/en-gb\/book-a-demo\/","target":""},"tabbed_faqs":false,"faqs":[{"question":"How does Comply Accountability fit into the Comply platform?","answer":"<p>Comply Accountability is available today as a standalone solution and is being progressively integrated into the broader Comply platform. In the first phase, users access Comply Accountability through single sign-on (SSO) alongside their existing Comply tools. In the next phase, accountability data will be surfaced directly within the Comply employee profile \u2014 giving compliance teams a single view of an individual&#8217;s obligations, accountability records, and compliance activity in one place. For firms already using Comply, this means your SMCR and accountability obligations will sit alongside your existing employee compliance program without the need for separate logins or manual data reconciliation.<\/p>\n","link":""},{"question":"Does Comply Accountability support SMCR?","answer":"<p>Yes. SMCR is the foundation the platform was built on. Comply Accountability supports the full scope of Senior Managers and Certification Regime obligations \u2014 including Senior Management Function mapping, Statements of Responsibilities, Management Responsibility Maps, fitness and propriety assessments, certification workflows, conduct rule attestations, and the evidencing of reasonable steps. For firms subject to the FCA&#8217;s enhanced, core, or limited scope regime, Comply Accountability structures and automates the workflows that SMCR demands, and retains the evidence regulators expect to see when they come asking.<\/p>\n","link":""},{"question":"What is an Individual Accountability Regime (IAR)?","answer":"<p>An Individual Accountability Regime is a regulatory framework that places direct, personal responsibility on named senior individuals within financial services firms \u2014 rather than holding the firm as a collective entity accountable. The FCA&#8217;s Senior Managers and Certification Regime (SMCR) is the most well-established example, but regulators around the world have followed suit. Ireland introduced the Senior Executive Accountability Regime (SEAR), Australia implemented the Financial Accountability Regime (FAR), Singapore published the Monetary Authority of Singapore&#8217;s Individual Accountability and Conduct guidelines, and Hong Kong operates the Manager-in-Charge (MIC) regime. The common thread across all of them is the same: specific individuals must be able to demonstrate what they were responsible for, what decisions they made, and what steps they took. Firms that cannot evidence this at the individual level (not just the firm level) face significant regulatory exposure.<\/p>\n","link":""},{"question":"Can Comply Accountability be used as a standalone solution?","answer":"<p>Yes. Comply Accountability is available as a standalone platform for firms that need dedicated individual accountability governance, regardless of whether they use other Comply products. It is particularly well suited to firms that already have employee compliance tooling in place but lack the depth of structure required for SMCR, SEAR, FAR, or equivalent regimes at the senior manager level. For firms using the broader Comply platform, Comply Accountability will progressively integrate to provide a unified view of individual obligations across both employee compliance and accountability governance.<\/p>\n","link":""},{"question":"How do firms manage Senior Manager Statements of Responsibilities (SoRs)?","answer":"<p>A Statement of Responsibilities is one of the most operationally demanding documents under SMCR. Every Senior Management Function holder must have a current, accurate SoR that clearly sets out what they are personally responsible and accountable for. The challenge is that SoRs are live documents \u2014 they change when individuals move roles, when the firm restructures, or when regulatory requirements evolve. Managing them manually across a large firm is a significant compliance risk. Comply Accountability centralizes SoR creation, assignment, and version control within a single platform. Changes are tracked and time-stamped, delegation mandates are recorded, and the full history of every SoR is retained as evidence. When the FCA asks to see a senior manager&#8217;s responsibilities at a specific point in time, firms using Comply Accountability can produce that record immediately.<\/p>\n","link":""},{"question":"What is a Management Responsibility Map and how do firms manage them?","answer":"<p>A Management Responsibility Map is a firm-level document required under SMCR that sets out the governance and management structure of the firm \u2014 showing how responsibilities are allocated across senior managers, where reporting lines sit, and how the firm is run day to day. For enhanced firms in particular, the MRM must be kept current and submitted to the FCA as part of the firm&#8217;s regulatory obligations. In practice, keeping an MRM accurate is one of the most challenging aspects of SMCR governance \u2014 organizational structures change, senior managers move, and responsibilities shift. Firms that manage this in spreadsheets or static documents invariably find their MRM drifting out of date. Comply Accountability structures the MRM within the platform, linking it directly to live role assignments and SoRs so that changes to an individual&#8217;s responsibilities are automatically reflected in the broader governance map. This means the MRM is always current, always evidenced, and always ready for regulatory scrutiny.<\/p>\n","link":""}],"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":""}},{"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 FCA 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":""}},{"question":"Roles, Groups, Scopes, and Workflows","answer":"<p>Categorising 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 centralised, 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 industry, including wealth and asset managers, hedge funds, investment banks, brokers and trading firms, global institutions, and public companies.<\/p>\n","link":{"title":"","url":"","target":"","0":""}},{"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":{"title":"","url":"","target":"","0":""}},{"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, brokers and investment firms, around the world. With more than 7,000 clients in 61 countries, we can create a customisable solution to strengthen your firm\u2019s compliance program.<\/p>\n","link":{"title":"","url":"","target":"","0":""}},{"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":{"title":"","url":"","target":"","0":""}},{"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":{"title":"","url":"","target":"","0":""}}]}]},"faqs":{"faqs_group":{"show_section":true,"sub_head":"","headline":"Comply Platform FAQs","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":"Book a Demo","url":"https:\/\/www.comply.com\/en-gb\/book-a-demo\/","target":""},"tabbed_faqs":false,"faqs":[{"question":"How does Comply Accountability fit into the Comply platform?","answer":"<p>Comply Accountability is available today as a standalone solution and is being progressively integrated into the broader Comply platform. In the first phase, users access Comply Accountability through single sign-on (SSO) alongside their existing Comply tools. In the next phase, accountability data will be surfaced directly within the Comply employee profile \u2014 giving compliance teams a single view of an individual&#8217;s obligations, accountability records, and compliance activity in one place. For firms already using Comply, this means your SMCR and accountability obligations will sit alongside your existing employee compliance program without the need for separate logins or manual data reconciliation.<\/p>\n","link":""},{"question":"Does Comply Accountability support SMCR?","answer":"<p>Yes. SMCR is the foundation the platform was built on. Comply Accountability supports the full scope of Senior Managers and Certification Regime obligations \u2014 including Senior Management Function mapping, Statements of Responsibilities, Management Responsibility Maps, fitness and propriety assessments, certification workflows, conduct rule attestations, and the evidencing of reasonable steps. For firms subject to the FCA&#8217;s enhanced, core, or limited scope regime, Comply Accountability structures and automates the workflows that SMCR demands, and retains the evidence regulators expect to see when they come asking.<\/p>\n","link":""},{"question":"What is an Individual Accountability Regime (IAR)?","answer":"<p>An Individual Accountability Regime is a regulatory framework that places direct, personal responsibility on named senior individuals within financial services firms \u2014 rather than holding the firm as a collective entity accountable. The FCA&#8217;s Senior Managers and Certification Regime (SMCR) is the most well-established example, but regulators around the world have followed suit. Ireland introduced the Senior Executive Accountability Regime (SEAR), Australia implemented the Financial Accountability Regime (FAR), Singapore published the Monetary Authority of Singapore&#8217;s Individual Accountability and Conduct guidelines, and Hong Kong operates the Manager-in-Charge (MIC) regime. The common thread across all of them is the same: specific individuals must be able to demonstrate what they were responsible for, what decisions they made, and what steps they took. Firms that cannot evidence this at the individual level (not just the firm level) face significant regulatory exposure.<\/p>\n","link":""},{"question":"Can Comply Accountability be used as a standalone solution?","answer":"<p>Yes. Comply Accountability is available as a standalone platform for firms that need dedicated individual accountability governance, regardless of whether they use other Comply products. It is particularly well suited to firms that already have employee compliance tooling in place but lack the depth of structure required for SMCR, SEAR, FAR, or equivalent regimes at the senior manager level. For firms using the broader Comply platform, Comply Accountability will progressively integrate to provide a unified view of individual obligations across both employee compliance and accountability governance.<\/p>\n","link":""},{"question":"How do firms manage Senior Manager Statements of Responsibilities (SoRs)?","answer":"<p>A Statement of Responsibilities is one of the most operationally demanding documents under SMCR. Every Senior Management Function holder must have a current, accurate SoR that clearly sets out what they are personally responsible and accountable for. The challenge is that SoRs are live documents \u2014 they change when individuals move roles, when the firm restructures, or when regulatory requirements evolve. Managing them manually across a large firm is a significant compliance risk. Comply Accountability centralizes SoR creation, assignment, and version control within a single platform. Changes are tracked and time-stamped, delegation mandates are recorded, and the full history of every SoR is retained as evidence. When the FCA asks to see a senior manager&#8217;s responsibilities at a specific point in time, firms using Comply Accountability can produce that record immediately.<\/p>\n","link":""},{"question":"What is a Management Responsibility Map and how do firms manage them?","answer":"<p>A Management Responsibility Map is a firm-level document required under SMCR that sets out the governance and management structure of the firm \u2014 showing how responsibilities are allocated across senior managers, where reporting lines sit, and how the firm is run day to day. For enhanced firms in particular, the MRM must be kept current and submitted to the FCA as part of the firm&#8217;s regulatory obligations. In practice, keeping an MRM accurate is one of the most challenging aspects of SMCR governance \u2014 organizational structures change, senior managers move, and responsibilities shift. Firms that manage this in spreadsheets or static documents invariably find their MRM drifting out of date. Comply Accountability structures the MRM within the platform, linking it directly to live role assignments and SoRs so that changes to an individual&#8217;s responsibilities are automatically reflected in the broader governance map. This means the MRM is always current, always evidenced, and always ready for regulatory scrutiny.<\/p>\n","link":""}],"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":""}},{"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 FCA 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":""}},{"question":"Roles, Groups, Scopes, and Workflows","answer":"<p>Categorising 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. 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You can contact Comply\u2019s support team <a href=\"https:\/\/www.comply.com\/support\/\">here.<\/a><\/p>\n","link":{"title":"","url":"","target":"","0":""}},{"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. 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core compliance challenges? <span>Solved.<\/span>","text":"Discover why investment management, private equity, hedge funds, and more rely on Comply to automate tasks, monitor compliance protocols, and mitigate risk.","button":{"title":"Book a Demo","url":"https:\/\/www.comply.com\/en-gb\/book-a-demo\/","target":"_blank"}},"cta_wrap":{"cta_group":{"show_section":true,"headline":"Your core compliance challenges? <span>Solved.<\/span>","text":"Discover why investment management, private equity, hedge funds, and more rely on Comply to automate tasks, monitor compliance protocols, and mitigate risk.","button":{"title":"Book a Demo","url":"https:\/\/www.comply.com\/en-gb\/book-a-demo\/","target":"_blank"}}},"new_blue_header":false,"additional_products":"<div class=\"comply-section addl-products\">\n<div class=\"container\">\n<p class=\"comply-eyebrow\">PART OF COMPLY ACCOUNTABILITY<\/p>\n<h2 class=\"comply-heading\">Two powerful solutions, one platform<\/h2>\n<p class=\"comply-subheading\">Purpose-built tools to strengthen accountability and build a compliant culture.<\/p>\n<div class=\"comply-grid\">\n<div id=\"comply-conduct\" class=\"comply-card\">\n<div class=\"comply-card-header\">\n<div class=\"comply-card-icon icon-conduct\"><\/div>\n<p><span class=\"comply-tag tag-conduct\">Conduct<\/span><\/p>\n<h4 class=\"comply-card-name\">Comply Conduct<\/h4>\n<p class=\"comply-card-desc\">Conduct obligations extend across your entire regulated population, not just your senior managers. Comply Conduct gives compliance teams a centralized view of individual conduct risk \u2014 connecting data across systems, flagging issues before they escalate, and building the kind of audit trail regulators expect.<\/p>\n<\/div>\n<div class=\"comply-card-body\">\n<div class=\"comply-divider\"><\/div>\n<ul class=\"comply-features\">\n<li>Create a centralized view of conduct and compliance data across your entire employee population<\/li>\n<li>Ingest data from multiple platforms including Comply, Workday, and Skillcast, as well as flat files<\/li>\n<li>Build and manage conduct risk models across individual compliance and conduct obligations<\/li>\n<li>Trigger actions and escalations automatically when risk thresholds are breached<\/li>\n<li>Track conduct rule adherence, breaches, and annual conduct rule breach reporting<\/li>\n<li>Filter, analyze, and visualize data across entities, regions, and jurisdictions<\/li>\n<li>Supports FCA Conduct Rules, Consumer Duty, and Non-Financial Misconduct obligations<\/li>\n<\/ul>\n<p><a class=\"btn\" href=\"https:\/\/www.comply.com\/en-gb\/book-a-demo\/\">Book a Demo<\/a><\/p>\n<\/div>\n<\/div>\n<div id=\"comply-training-competence\" class=\"comply-card\">\n<div class=\"comply-card-header\">\n<div class=\"comply-card-icon icon-training\"><\/div>\n<p><span class=\"comply-tag tag-training\">Training &amp; Competence<\/span><\/p>\n<h4 class=\"comply-card-name\">Comply Training &amp; Competence<\/h4>\n<p class=\"comply-card-desc\">Regulated individuals need to be demonstrably competent, not just accountable. 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They are examining data.","name":"female-employee-explaining-strategies-to-manager-2","status":"inherit","uploaded_to":13560,"date":"2026-03-18 14:32:55","modified":"2026-03-18 14:32:55","menu_order":0,"mime_type":"image\/jpeg","type":"image","subtype":"jpeg","icon":"https:\/\/www.comply.com\/wp-includes\/images\/media\/default.png","width":2120,"height":1414,"sizes":{"thumbnail":"https:\/\/www.comply.com\/wp-content\/uploads\/2025\/09\/iStock-2216469287-150x150.jpg","thumbnail-width":150,"thumbnail-height":150,"medium":"https:\/\/www.comply.com\/wp-content\/uploads\/2025\/09\/iStock-2216469287-300x200.jpg","medium-width":300,"medium-height":200,"medium_large":"https:\/\/www.comply.com\/wp-content\/uploads\/2025\/09\/iStock-2216469287-768x512.jpg","medium_large-width":768,"medium_large-height":512,"large":"https:\/\/www.comply.com\/wp-content\/uploads\/2025\/09\/iStock-2216469287-1024x683.jpg","large-width":1024,"large-height":683,"1536x1536":"https:\/\/www.comply.com\/wp-content\/uploads\/2025\/09\/iStock-2216469287-1536x1024.jpg","1536x1536-width":1536,"1536x1536-height":1024,"2048x2048":"https:\/\/www.comply.com\/wp-content\/uploads\/2025\/09\/iStock-2216469287-2048x1366.jpg","2048x2048-width":2048,"2048x2048-height":1366,"menu-24x24":"https:\/\/www.comply.com\/wp-content\/uploads\/2025\/09\/iStock-2216469287-24x16.jpg","menu-24x24-width":24,"menu-24x24-height":16,"menu-36x36":"https:\/\/www.comply.com\/wp-content\/uploads\/2025\/09\/iStock-2216469287-36x24.jpg","menu-36x36-width":36,"menu-36x36-height":24,"menu-48x48":"https:\/\/www.comply.com\/wp-content\/uploads\/2025\/09\/iStock-2216469287-48x32.jpg","menu-48x48-width":48,"menu-48x48-height":32}}},"left_right_content_group":{"show_section":true,"sub_head":"","headline":"Why firms operating under SMCR, SEAR, and FAR choose Comply Accountability?","text":"Accountability regimes don't hold firms responsible \u2014 they hold people responsible. 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https:\/\/yoast.com\/wordpress\/plugins\/seo\/ -->\n<title>Comply Platform | Elevate your regulatory compliance solution<\/title>\n<meta name=\"description\" content=\"Discover Comply&#039;s advanced financial services compliance solutions. Our compliance management software help scale your compliance strategy and ensure your business meets all regulatory requirements seamlessly.\" \/>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" href=\"https:\/\/www.comply.com\/en-gb\/products\/comply-accountability-iar\/\" \/>\n<meta property=\"og:locale\" content=\"en_GB\" \/>\n<meta property=\"og:type\" content=\"article\" \/>\n<meta property=\"og:title\" content=\"Comply Platform | Elevate your regulatory compliance solution\" \/>\n<meta property=\"og:description\" content=\"Discover Comply&#039;s advanced financial services compliance solutions. Our compliance management software help scale your compliance strategy and ensure your business meets all regulatory requirements seamlessly.\" \/>\n<meta property=\"og:url\" content=\"https:\/\/www.comply.com\/en-gb\/products\/comply-accountability-iar\/\" \/>\n<meta property=\"og:site_name\" content=\"Comply\" \/>\n<meta property=\"article:modified_time\" content=\"2026-05-13T14:37:18+00:00\" \/>\n<meta name=\"twitter:card\" content=\"summary_large_image\" \/>\n<!-- \/ Yoast SEO plugin. -->","yoast_head_json":{"title":"Comply Platform | Elevate your regulatory compliance solution","description":"Discover Comply's advanced financial services compliance solutions. 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