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With Comply Program Management, you gain access to an all-in-one compliance calendar automatically populated with deadlines and requirements tailored to your firm\u2019s policies and procedures, jurisdictional requirements, and more.<\/span><\/p>\n","button":{"title":"Request a Demo","url":"https:\/\/www.comply.com\/en-gb\/book-a-demo\/","target":""}},{"tab_title":"Annual Review and Risk Assessment Tools","image":{"ID":11710,"id":11710,"title":"ABX Screenshots_300-01","filename":"ABX-Screenshots_300-01-e1736347211137.png","filesize":113866,"url":"https:\/\/www.comply.com\/wp-content\/uploads\/2024\/08\/ABX-Screenshots_300-01-e1736347211137.png","link":"https:\/\/www.comply.com\/en-gb\/products\/comply-platform\/abx-screenshots_300-01-2\/","alt":"","author":"4","description":"","caption":"","name":"abx-screenshots_300-01-2","status":"inherit","uploaded_to":392,"date":"2025-01-07 18:31:01","modified":"2025-01-07 18:31:01","menu_order":0,"mime_type":"image\/png","type":"image","subtype":"png","icon":"https:\/\/www.comply.com\/wp-includes\/images\/media\/default.png","width":600,"height":411,"sizes":{"thumbnail":"https:\/\/www.comply.com\/wp-content\/uploads\/2024\/08\/ABX-Screenshots_300-01-150x150.png","thumbnail-width":150,"thumbnail-height":150,"medium":"https:\/\/www.comply.com\/wp-content\/uploads\/2024\/08\/ABX-Screenshots_300-01-300x206.png","medium-width":300,"medium-height":206,"medium_large":"https:\/\/www.comply.com\/wp-content\/uploads\/2024\/08\/ABX-Screenshots_300-01-768x526.png","medium_large-width":768,"medium_large-height":526,"large":"https:\/\/www.comply.com\/wp-content\/uploads\/2024\/08\/ABX-Screenshots_300-01-1024x702.png","large-width":1024,"large-height":702,"1536x1536":"https:\/\/www.comply.com\/wp-content\/uploads\/2024\/08\/ABX-Screenshots_300-01-1536x1052.png","1536x1536-width":1536,"1536x1536-height":1052,"2048x2048":"https:\/\/www.comply.com\/wp-content\/uploads\/2024\/08\/ABX-Screenshots_300-01-2048x1403.png","2048x2048-width":2048,"2048x2048-height":1403,"menu-24x24":"https:\/\/www.comply.com\/wp-content\/uploads\/2024\/08\/ABX-Screenshots_300-01-24x16.png","menu-24x24-width":24,"menu-24x24-height":16,"menu-36x36":"https:\/\/www.comply.com\/wp-content\/uploads\/2024\/08\/ABX-Screenshots_300-01-36x25.png","menu-36x36-width":36,"menu-36x36-height":25,"menu-48x48":"https:\/\/www.comply.com\/wp-content\/uploads\/2024\/08\/ABX-Screenshots_300-01-48x33.png","menu-48x48-width":48,"menu-48x48-height":33}},"content":"<p><span data-sheets-root=\"1\">Automate the review and testing of your compliance program, identifying, remediating, and documenting your findings for ongoing reference.<\/span><\/p>\n","button":{"title":"Request a Demo","url":"https:\/\/www.comply.com\/en-gb\/book-a-demo\/","target":""}},{"tab_title":"Employee Trade Monitoring and Restricted List Management","image":{"ID":11633,"id":11633,"title":"Who We Serve - ETM","filename":"Who-We-Serve-ETM.png","filesize":81064,"url":"https:\/\/www.comply.com\/wp-content\/uploads\/2024\/12\/Who-We-Serve-ETM.png","link":"https:\/\/www.comply.com\/en-gb\/who-we-serve\/private-funds\/who-we-serve-etm\/","alt":"","author":"4","description":"","caption":"","name":"who-we-serve-etm","status":"inherit","uploaded_to":7344,"date":"2025-01-02 17:28:03","modified":"2025-01-02 17:28:03","menu_order":0,"mime_type":"image\/png","type":"image","subtype":"png","icon":"https:\/\/www.comply.com\/wp-includes\/images\/media\/default.png","width":700,"height":350,"sizes":{"thumbnail":"https:\/\/www.comply.com\/wp-content\/uploads\/2024\/12\/Who-We-Serve-ETM-150x150.png","thumbnail-width":150,"thumbnail-height":150,"medium":"https:\/\/www.comply.com\/wp-content\/uploads\/2024\/12\/Who-We-Serve-ETM-300x150.png","medium-width":300,"medium-height":150,"medium_large":"https:\/\/www.comply.com\/wp-content\/uploads\/2024\/12\/Who-We-Serve-ETM.png","medium_large-width":700,"medium_large-height":350,"large":"https:\/\/www.comply.com\/wp-content\/uploads\/2024\/12\/Who-We-Serve-ETM.png","large-width":700,"large-height":350,"1536x1536":"https:\/\/www.comply.com\/wp-content\/uploads\/2024\/12\/Who-We-Serve-ETM.png","1536x1536-width":700,"1536x1536-height":350,"2048x2048":"https:\/\/www.comply.com\/wp-content\/uploads\/2024\/12\/Who-We-Serve-ETM.png","2048x2048-width":700,"2048x2048-height":350,"menu-24x24":"https:\/\/www.comply.com\/wp-content\/uploads\/2024\/12\/Who-We-Serve-ETM-24x12.png","menu-24x24-width":24,"menu-24x24-height":12,"menu-36x36":"https:\/\/www.comply.com\/wp-content\/uploads\/2024\/12\/Who-We-Serve-ETM-36x18.png","menu-36x36-width":36,"menu-36x36-height":18,"menu-48x48":"https:\/\/www.comply.com\/wp-content\/uploads\/2024\/12\/Who-We-Serve-ETM-48x24.png","menu-48x48-width":48,"menu-48x48-height":24}},"content":"<p><span data-sheets-root=\"1\">Implement your firm\u2019s personal securities trading Policies and Procedures and monitor your employees\u2019 trading activity to prevent and proactively identify potential misuse of material non-public information (MNPI).<\/span><\/p>\n","button":{"title":"Request a Demo","url":"https:\/\/www.comply.com\/en-gb\/book-a-demo\/","target":""}},{"tab_title":"Case Management","image":{"ID":11638,"id":11638,"title":"Who We Serve - PF - case mgt","filename":"Who-We-Serve-PF-case-mgt.png","filesize":74521,"url":"https:\/\/www.comply.com\/wp-content\/uploads\/2024\/12\/Who-We-Serve-PF-case-mgt.png","link":"https:\/\/www.comply.com\/en-gb\/who-we-serve\/private-funds\/who-we-serve-pf-case-mgt\/","alt":"","author":"4","description":"","caption":"","name":"who-we-serve-pf-case-mgt","status":"inherit","uploaded_to":7344,"date":"2025-01-02 18:11:08","modified":"2025-01-02 18:11:08","menu_order":0,"mime_type":"image\/png","type":"image","subtype":"png","icon":"https:\/\/www.comply.com\/wp-includes\/images\/media\/default.png","width":700,"height":350,"sizes":{"thumbnail":"https:\/\/www.comply.com\/wp-content\/uploads\/2024\/12\/Who-We-Serve-PF-case-mgt-150x150.png","thumbnail-width":150,"thumbnail-height":150,"medium":"https:\/\/www.comply.com\/wp-content\/uploads\/2024\/12\/Who-We-Serve-PF-case-mgt-300x150.png","medium-width":300,"medium-height":150,"medium_large":"https:\/\/www.comply.com\/wp-content\/uploads\/2024\/12\/Who-We-Serve-PF-case-mgt.png","medium_large-width":700,"medium_large-height":350,"large":"https:\/\/www.comply.com\/wp-content\/uploads\/2024\/12\/Who-We-Serve-PF-case-mgt.png","large-width":700,"large-height":350,"1536x1536":"https:\/\/www.comply.com\/wp-content\/uploads\/2024\/12\/Who-We-Serve-PF-case-mgt.png","1536x1536-width":700,"1536x1536-height":350,"2048x2048":"https:\/\/www.comply.com\/wp-content\/uploads\/2024\/12\/Who-We-Serve-PF-case-mgt.png","2048x2048-width":700,"2048x2048-height":350,"menu-24x24":"https:\/\/www.comply.com\/wp-content\/uploads\/2024\/12\/Who-We-Serve-PF-case-mgt-24x12.png","menu-24x24-width":24,"menu-24x24-height":12,"menu-36x36":"https:\/\/www.comply.com\/wp-content\/uploads\/2024\/12\/Who-We-Serve-PF-case-mgt-36x18.png","menu-36x36-width":36,"menu-36x36-height":18,"menu-48x48":"https:\/\/www.comply.com\/wp-content\/uploads\/2024\/12\/Who-We-Serve-PF-case-mgt-48x24.png","menu-48x48-width":48,"menu-48x48-height":24}},"content":"<p><span data-sheets-root=\"1\">Manage and mitigate the impact of compliance breaches with Comply&#8217;s integrated Case Management solution. Investigate, document, and report on all cases, with a complete audit trail of your findings and remediations.<\/span><\/p>\n","button":{"title":"Request a Demo","url":"https:\/\/www.comply.com\/en-gb\/book-a-demo\/","target":""}},{"tab_title":"Certifications and Attestations","image":{"ID":11634,"id":11634,"title":"Who We Serve - PF - certs and atest","filename":"Who-We-Serve-PF-certs-and-atest.png","filesize":97520,"url":"https:\/\/www.comply.com\/wp-content\/uploads\/2024\/12\/Who-We-Serve-PF-certs-and-atest.png","link":"https:\/\/www.comply.com\/en-gb\/who-we-serve\/private-funds\/who-we-serve-pf-certs-and-atest\/","alt":"","author":"4","description":"","caption":"","name":"who-we-serve-pf-certs-and-atest","status":"inherit","uploaded_to":7344,"date":"2025-01-02 17:28:03","modified":"2025-01-02 17:28:03","menu_order":0,"mime_type":"image\/png","type":"image","subtype":"png","icon":"https:\/\/www.comply.com\/wp-includes\/images\/media\/default.png","width":700,"height":350,"sizes":{"thumbnail":"https:\/\/www.comply.com\/wp-content\/uploads\/2024\/12\/Who-We-Serve-PF-certs-and-atest-150x150.png","thumbnail-width":150,"thumbnail-height":150,"medium":"https:\/\/www.comply.com\/wp-content\/uploads\/2024\/12\/Who-We-Serve-PF-certs-and-atest-300x150.png","medium-width":300,"medium-height":150,"medium_large":"https:\/\/www.comply.com\/wp-content\/uploads\/2024\/12\/Who-We-Serve-PF-certs-and-atest.png","medium_large-width":700,"medium_large-height":350,"large":"https:\/\/www.comply.com\/wp-content\/uploads\/2024\/12\/Who-We-Serve-PF-certs-and-atest.png","large-width":700,"large-height":350,"1536x1536":"https:\/\/www.comply.com\/wp-content\/uploads\/2024\/12\/Who-We-Serve-PF-certs-and-atest.png","1536x1536-width":700,"1536x1536-height":350,"2048x2048":"https:\/\/www.comply.com\/wp-content\/uploads\/2024\/12\/Who-We-Serve-PF-certs-and-atest.png","2048x2048-width":700,"2048x2048-height":350,"menu-24x24":"https:\/\/www.comply.com\/wp-content\/uploads\/2024\/12\/Who-We-Serve-PF-certs-and-atest-24x12.png","menu-24x24-width":24,"menu-24x24-height":12,"menu-36x36":"https:\/\/www.comply.com\/wp-content\/uploads\/2024\/12\/Who-We-Serve-PF-certs-and-atest-36x18.png","menu-36x36-width":36,"menu-36x36-height":18,"menu-48x48":"https:\/\/www.comply.com\/wp-content\/uploads\/2024\/12\/Who-We-Serve-PF-certs-and-atest-48x24.png","menu-48x48-width":48,"menu-48x48-height":24}},"content":"<p><span data-sheets-root=\"1\">Easily build digital certification or attestation forms and events, automating the delivery and reminder process.\u00a0<\/span><\/p>\n","button":{"title":"Request a Demo","url":"https:\/\/www.comply.com\/en-gb\/book-a-demo\/","target":""}},{"tab_title":"Comply Fiduciary Suite","image":{"ID":11738,"id":11738,"title":"Fiduciary Suite Screenshot","filename":"Fiduciary-Suite-Screenshot-1.png","filesize":992154,"url":"https:\/\/www.comply.com\/wp-content\/uploads\/2024\/08\/Fiduciary-Suite-Screenshot-1.png","link":"https:\/\/www.comply.com\/en-gb\/products\/comply-ria\/fiduciary-suite-screenshot-2\/","alt":"","author":"12","description":"","caption":"","name":"fiduciary-suite-screenshot-2","status":"inherit","uploaded_to":875,"date":"2025-01-08 13:37:44","modified":"2025-01-08 13:37:44","menu_order":0,"mime_type":"image\/png","type":"image","subtype":"png","icon":"https:\/\/www.comply.com\/wp-includes\/images\/media\/default.png","width":2400,"height":1800,"sizes":{"thumbnail":"https:\/\/www.comply.com\/wp-content\/uploads\/2024\/08\/Fiduciary-Suite-Screenshot-1-150x150.png","thumbnail-width":150,"thumbnail-height":150,"medium":"https:\/\/www.comply.com\/wp-content\/uploads\/2024\/08\/Fiduciary-Suite-Screenshot-1-300x225.png","medium-width":300,"medium-height":225,"medium_large":"https:\/\/www.comply.com\/wp-content\/uploads\/2024\/08\/Fiduciary-Suite-Screenshot-1-768x576.png","medium_large-width":768,"medium_large-height":576,"large":"https:\/\/www.comply.com\/wp-content\/uploads\/2024\/08\/Fiduciary-Suite-Screenshot-1-1024x768.png","large-width":1024,"large-height":768,"1536x1536":"https:\/\/www.comply.com\/wp-content\/uploads\/2024\/08\/Fiduciary-Suite-Screenshot-1-1536x1152.png","1536x1536-width":1536,"1536x1536-height":1152,"2048x2048":"https:\/\/www.comply.com\/wp-content\/uploads\/2024\/08\/Fiduciary-Suite-Screenshot-1-2048x1536.png","2048x2048-width":2048,"2048x2048-height":1536,"menu-24x24":"https:\/\/www.comply.com\/wp-content\/uploads\/2024\/08\/Fiduciary-Suite-Screenshot-1-24x18.png","menu-24x24-width":24,"menu-24x24-height":18,"menu-36x36":"https:\/\/www.comply.com\/wp-content\/uploads\/2024\/08\/Fiduciary-Suite-Screenshot-1-36x27.png","menu-36x36-width":36,"menu-36x36-height":27,"menu-48x48":"https:\/\/www.comply.com\/wp-content\/uploads\/2024\/08\/Fiduciary-Suite-Screenshot-1-48x36.png","menu-48x48-width":48,"menu-48x48-height":36}},"content":"<p><span data-sheets-root=\"1\">Leverage the combined power of three dynamic offerings &#8212; AccountCompare, PeerCompare, and RolloverAnalyzer &#8212; to meet and document your fiduciary obligations.<\/span><\/p>\n","button":{"title":"Request a Demo","url":"https:\/\/www.comply.com\/en-gb\/book-a-demo\/","target":""}}]}},"quote_wrap_group":{"show_section":true,"image":false,"full_size_quote":true,"quote_text":"I love that the company has created a culture that solicits feedback to continually evolve the product to fit the customers\u2019 needs. The support team is incredibly knowledgeable, and it shows!","quote_author_name":"David Becker, CFIP","show_stats":false,"stats_list":[{"count":"95% ","text":"Customer Satisfaction"},{"count":"99.9%","text":"Comply Platform Uptime"},{"count":"75%","text":"Trade Requests Automated, Saving Firms ~ 6,000 hours per year"}]},"quote_wrap":{"quote_wrap_group":{"show_section":true,"image":false,"full_size_quote":true,"quote_text":"I love that the company has created a culture that solicits feedback to continually evolve the product to fit the customers\u2019 needs. The support team is incredibly knowledgeable, and it shows!","quote_author_name":"David Becker, CFIP","show_stats":false,"stats_list":[{"count":"95% ","text":"Customer Satisfaction"},{"count":"99.9%","text":"Comply Platform Uptime"},{"count":"75%","text":"Trade Requests Automated, Saving Firms ~ 6,000 hours per year"}]}},"faqs_group":{"show_section":true,"sub_head":"FAQs","headline":"You've got questions. We've got answers.","text":"<p>Have a few questions after exploring our solutions and capabilities for Investment Banks? Check out some of the most frequently asked questions for all your answers.<\/p>\n","button":{"title":"Talk to Sales","url":"https:\/\/www.comply.com\/en-gb\/book-a-demo\/","target":""},"tabbed_faqs":false,"faqs":[{"question":"What solutions does Comply offer for investment banks?","answer":"<p>Our compliance monitoring software empowers investment bank compliance professionals to focus on data insights rather than data management. With tools built to track conflicts of interest related to personal trading, gifts and entertainment, political contributions, outside business activities, marketing materials, IPOs, and private placements, Comply ensures no potential risks or conflicts of interest go unnoticed.<\/p>\n","link":""},{"question":"How do I find the right financial services compliance software for my firm?","answer":"<div class=\"rte__block rte__top-level-block rte__block--is-first rte__block--id-7gkap rte__text-block rte__paragraph\" data-block=\"true\" data-editor=\"1tnli\" data-offset-key=\"7gkap-0-0\">\n<div class=\"public-DraftStyleDefault-block public-DraftStyleDefault-ltr\" data-offset-key=\"7gkap-0-0\"><span data-offset-key=\"7gkap-0-0\">Your compliance technology partner should be just that, a partner. However, oftentimes finding a true partner for your compliance program is easier said than done.<\/span><\/div>\n<\/div>\n<div class=\"rte__block rte__top-level-block rte__block--id-38bs9 rte__text-block rte__paragraph\" data-block=\"true\" data-editor=\"1tnli\" data-offset-key=\"38bs9-0-0\">\n<div class=\"public-DraftStyleDefault-block public-DraftStyleDefault-ltr\" data-offset-key=\"38bs9-0-0\"><span data-offset-key=\"38bs9-0-0\">You will have to thoroughly vet your options\u00a0to find the right partner for you. Their capabilities should meet your firm\u2019s needs. They should have a clear understanding of your firm\u2019s goals, and they should be enthusiastic about working with your firm to help you meet those goals. When evaluating possible partners, you ask yourself the following questions.<\/span><\/div>\n<\/div>\n<div class=\"rte__block rte__top-level-block rte__block--id-23dcl rte__text-block rte__list-item rte__list-item--depth0 rte__ulist-item\" data-block=\"true\" data-editor=\"1tnli\" data-offset-key=\"23dcl-0-0\">\n<ul>\n<li class=\"public-DraftStyleDefault-block public-DraftStyleDefault-ltr\" data-offset-key=\"23dcl-0-0\"><span data-offset-key=\"23dcl-0-0\">What don\u2019t you like about your current compliance platform?<\/span><\/li>\n<li class=\"public-DraftStyleDefault-block public-DraftStyleDefault-ltr\" data-offset-key=\"23dcl-0-0\">What are your must-haves and your nice-to-haves in a compliance platform?<\/li>\n<li class=\"public-DraftStyleDefault-block public-DraftStyleDefault-ltr\" data-offset-key=\"23dcl-0-0\">Does the provider have industry expertise?<\/li>\n<li class=\"public-DraftStyleDefault-block public-DraftStyleDefault-ltr\" data-offset-key=\"23dcl-0-0\">What kind of support will the provider offer in implementation, as well as long-term?<\/li>\n<li class=\"public-DraftStyleDefault-block public-DraftStyleDefault-ltr\" data-offset-key=\"23dcl-0-0\">Does the provider continue to offer new and innovative product features, meeting the demands of the evolving compliance landscape?<\/li>\n<li class=\"public-DraftStyleDefault-block public-DraftStyleDefault-ltr\" data-offset-key=\"23dcl-0-0\">Does the technology enable you to more efficiently meet your compliance goals and needs?<\/li>\n<\/ul>\n<\/div>\n","link":""},{"question":"How do I get the most out of my financial regulatory compliance software?","answer":"<div class=\"rte__block rte__top-level-block rte__block--is-first rte__block--id-7gkap rte__text-block rte__paragraph\" data-block=\"true\" data-editor=\"1trdt\" data-offset-key=\"7gkap-0-0\">\n<div class=\"public-DraftStyleDefault-block public-DraftStyleDefault-ltr\" data-offset-key=\"7gkap-0-0\"><span data-offset-key=\"7gkap-0-0\">Every dollar matters. This makes prioritizing your spend essential to keeping your financial advisory firm at peak of performance, investing where appropriate for long-term success while not over-reaching and potentially overspending.\u00a0<\/span><\/div>\n<\/div>\n<div class=\"rte__block rte__top-level-block rte__block--id-abv38 rte__text-block rte__list-item rte__list-item--depth0 rte__ulist-item\" data-block=\"true\" data-editor=\"1trdt\" data-offset-key=\"abv38-0-0\">\n<div class=\"public-DraftStyleDefault-block public-DraftStyleDefault-ltr\" data-offset-key=\"abv38-0-0\"><span data-offset-key=\"abv38-0-0\">Work with the right compliance technology partner<\/span><\/div>\n<\/div>\n<div class=\"rte__block rte__top-level-block rte__block--id-1vkaj rte__text-block rte__list-item rte__list-item--depth0 rte__ulist-item\" data-block=\"true\" data-editor=\"1trdt\" data-offset-key=\"1vkaj-0-0\">\n<ul>\n<li class=\"public-DraftStyleDefault-block public-DraftStyleDefault-ltr\" data-offset-key=\"1vkaj-0-0\"><span data-offset-key=\"1vkaj-0-0\">Prioritize your fiduciary education<\/span><\/li>\n<li class=\"public-DraftStyleDefault-block public-DraftStyleDefault-ltr\" data-offset-key=\"1vkaj-0-0\">Bring in outside help as needed<\/li>\n<li class=\"public-DraftStyleDefault-block public-DraftStyleDefault-ltr\" data-offset-key=\"1vkaj-0-0\">Create a culture that prioritizes compliance<\/li>\n<li class=\"public-DraftStyleDefault-block public-DraftStyleDefault-ltr\" data-offset-key=\"1vkaj-0-0\">Lean into your *free* resources<\/li>\n<\/ul>\n<\/div>\n","link":""},{"question":"What type of customer support is provided?","answer":"<p><span data-offset-key=\"7gkap-0-0\">Comply provides our customers with the service and support required to meet the exacting demands of the regulatory industry, while embodying the attention to detail you demand of yourself and your team. With 24\/5 support and unparalleled in-house expertise, your program is our priority from the moment you begin the onboarding process. That\u2019s our promise to you.<\/span><\/p>\n<p><span data-offset-key=\"7gkap-0-0\">You can contact our Customer Support team\u00a0<\/span><strong><a href=\"https:\/\/www.comply.com\/support\/\"><span class=\"rte__bold\" data-offset-key=\"7gkap-1-0\">here.<\/span><\/a><\/strong><\/p>\n","link":""},{"question":"How long does the onboarding process usually take?","answer":"<div class=\"rte__block rte__top-level-block rte__block--is-first rte__block--id-7gkap rte__text-block rte__paragraph\" data-block=\"true\" data-editor=\"2insm\" data-offset-key=\"7gkap-0-0\">\n<div class=\"public-DraftStyleDefault-block public-DraftStyleDefault-ltr\" data-offset-key=\"7gkap-0-0\"><span data-offset-key=\"7gkap-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>\n<div class=\"rte__block rte__top-level-block rte__block--is-last rte__block--id-eui66 rte__text-block rte__paragraph\" data-block=\"true\" data-editor=\"2insm\" data-offset-key=\"eui66-0-0\">\n<div data-offset-key=\"eui66-0-0\"><\/div>\n<div class=\"public-DraftStyleDefault-block public-DraftStyleDefault-ltr\" data-offset-key=\"eui66-0-0\"><span data-offset-key=\"eui66-0-0\">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","link":""}],"tab_faqs":false},"faqs":{"faqs_group":{"show_section":true,"sub_head":"FAQs","headline":"You've got questions. We've got answers.","text":"<p>Have a few questions after exploring our solutions and capabilities for Investment Banks? Check out some of the most frequently asked questions for all your answers.<\/p>\n","button":{"title":"Talk to Sales","url":"https:\/\/www.comply.com\/en-gb\/book-a-demo\/","target":""},"tabbed_faqs":false,"faqs":[{"question":"What solutions does Comply offer for investment banks?","answer":"<p>Our compliance monitoring software empowers investment bank compliance professionals to focus on data insights rather than data management. With tools built to track conflicts of interest related to personal trading, gifts and entertainment, political contributions, outside business activities, marketing materials, IPOs, and private placements, Comply ensures no potential risks or conflicts of interest go unnoticed.<\/p>\n","link":""},{"question":"How do I find the right financial services compliance software for my firm?","answer":"<div class=\"rte__block rte__top-level-block rte__block--is-first rte__block--id-7gkap rte__text-block rte__paragraph\" data-block=\"true\" data-editor=\"1tnli\" data-offset-key=\"7gkap-0-0\">\n<div class=\"public-DraftStyleDefault-block public-DraftStyleDefault-ltr\" data-offset-key=\"7gkap-0-0\"><span data-offset-key=\"7gkap-0-0\">Your compliance technology partner should be just that, a partner. However, oftentimes finding a true partner for your compliance program is easier said than done.<\/span><\/div>\n<\/div>\n<div class=\"rte__block rte__top-level-block rte__block--id-38bs9 rte__text-block rte__paragraph\" data-block=\"true\" data-editor=\"1tnli\" data-offset-key=\"38bs9-0-0\">\n<div class=\"public-DraftStyleDefault-block public-DraftStyleDefault-ltr\" data-offset-key=\"38bs9-0-0\"><span data-offset-key=\"38bs9-0-0\">You will have to thoroughly vet your options\u00a0to find the right partner for you. Their capabilities should meet your firm\u2019s needs. They should have a clear understanding of your firm\u2019s goals, and they should be enthusiastic about working with your firm to help you meet those goals. When evaluating possible partners, you ask yourself the following questions.<\/span><\/div>\n<\/div>\n<div class=\"rte__block rte__top-level-block rte__block--id-23dcl rte__text-block rte__list-item rte__list-item--depth0 rte__ulist-item\" data-block=\"true\" data-editor=\"1tnli\" data-offset-key=\"23dcl-0-0\">\n<ul>\n<li class=\"public-DraftStyleDefault-block public-DraftStyleDefault-ltr\" data-offset-key=\"23dcl-0-0\"><span data-offset-key=\"23dcl-0-0\">What don\u2019t you like about your current compliance platform?<\/span><\/li>\n<li class=\"public-DraftStyleDefault-block public-DraftStyleDefault-ltr\" data-offset-key=\"23dcl-0-0\">What are your must-haves and your nice-to-haves in a compliance platform?<\/li>\n<li class=\"public-DraftStyleDefault-block public-DraftStyleDefault-ltr\" data-offset-key=\"23dcl-0-0\">Does the provider have industry expertise?<\/li>\n<li class=\"public-DraftStyleDefault-block public-DraftStyleDefault-ltr\" data-offset-key=\"23dcl-0-0\">What kind of support will the provider offer in implementation, as well as long-term?<\/li>\n<li class=\"public-DraftStyleDefault-block public-DraftStyleDefault-ltr\" data-offset-key=\"23dcl-0-0\">Does the provider continue to offer new and innovative product features, meeting the demands of the evolving compliance landscape?<\/li>\n<li class=\"public-DraftStyleDefault-block public-DraftStyleDefault-ltr\" data-offset-key=\"23dcl-0-0\">Does the technology enable you to more efficiently meet your compliance goals and needs?<\/li>\n<\/ul>\n<\/div>\n","link":""},{"question":"How do I get the most out of my financial regulatory compliance software?","answer":"<div class=\"rte__block rte__top-level-block rte__block--is-first rte__block--id-7gkap rte__text-block rte__paragraph\" data-block=\"true\" data-editor=\"1trdt\" data-offset-key=\"7gkap-0-0\">\n<div class=\"public-DraftStyleDefault-block public-DraftStyleDefault-ltr\" data-offset-key=\"7gkap-0-0\"><span data-offset-key=\"7gkap-0-0\">Every dollar matters. This makes prioritizing your spend essential to keeping your financial advisory firm at peak of performance, investing where appropriate for long-term success while not over-reaching and potentially overspending.\u00a0<\/span><\/div>\n<\/div>\n<div class=\"rte__block rte__top-level-block rte__block--id-abv38 rte__text-block rte__list-item rte__list-item--depth0 rte__ulist-item\" data-block=\"true\" data-editor=\"1trdt\" data-offset-key=\"abv38-0-0\">\n<div class=\"public-DraftStyleDefault-block public-DraftStyleDefault-ltr\" data-offset-key=\"abv38-0-0\"><span data-offset-key=\"abv38-0-0\">Work with the right compliance technology partner<\/span><\/div>\n<\/div>\n<div class=\"rte__block rte__top-level-block rte__block--id-1vkaj rte__text-block rte__list-item rte__list-item--depth0 rte__ulist-item\" data-block=\"true\" data-editor=\"1trdt\" data-offset-key=\"1vkaj-0-0\">\n<ul>\n<li class=\"public-DraftStyleDefault-block public-DraftStyleDefault-ltr\" data-offset-key=\"1vkaj-0-0\"><span data-offset-key=\"1vkaj-0-0\">Prioritize your fiduciary education<\/span><\/li>\n<li class=\"public-DraftStyleDefault-block public-DraftStyleDefault-ltr\" data-offset-key=\"1vkaj-0-0\">Bring in outside help as needed<\/li>\n<li class=\"public-DraftStyleDefault-block public-DraftStyleDefault-ltr\" data-offset-key=\"1vkaj-0-0\">Create a culture that prioritizes compliance<\/li>\n<li class=\"public-DraftStyleDefault-block public-DraftStyleDefault-ltr\" data-offset-key=\"1vkaj-0-0\">Lean into your *free* resources<\/li>\n<\/ul>\n<\/div>\n","link":""},{"question":"What type of customer support is provided?","answer":"<p><span data-offset-key=\"7gkap-0-0\">Comply provides our customers with the service and support required to meet the exacting demands of the regulatory industry, while embodying the attention to detail you demand of yourself and your team. With 24\/5 support and unparalleled in-house expertise, your program is our priority from the moment you begin the onboarding process. That\u2019s our promise to you.<\/span><\/p>\n<p><span data-offset-key=\"7gkap-0-0\">You can contact our Customer Support team\u00a0<\/span><strong><a href=\"https:\/\/www.comply.com\/support\/\"><span class=\"rte__bold\" data-offset-key=\"7gkap-1-0\">here.<\/span><\/a><\/strong><\/p>\n","link":""},{"question":"How long does the onboarding process usually take?","answer":"<div class=\"rte__block rte__top-level-block rte__block--is-first rte__block--id-7gkap rte__text-block rte__paragraph\" data-block=\"true\" data-editor=\"2insm\" data-offset-key=\"7gkap-0-0\">\n<div class=\"public-DraftStyleDefault-block public-DraftStyleDefault-ltr\" data-offset-key=\"7gkap-0-0\"><span data-offset-key=\"7gkap-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>\n<div class=\"rte__block rte__top-level-block rte__block--is-last rte__block--id-eui66 rte__text-block rte__paragraph\" data-block=\"true\" data-editor=\"2insm\" data-offset-key=\"eui66-0-0\">\n<div data-offset-key=\"eui66-0-0\"><\/div>\n<div class=\"public-DraftStyleDefault-block public-DraftStyleDefault-ltr\" data-offset-key=\"eui66-0-0\"><span data-offset-key=\"eui66-0-0\">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","link":""}],"tab_faqs":false}},"resources_group":{"show_section":true,"headline":"Resources","link":{"title":"See All Resources","url":"\/en-gb\/resources\/","target":""},"use_most_recent_resources":true,"resources":[{"resource":6425},{"resource":1201},{"resource":1214}]},"recent_resources":{"resources_group":{"show_section":true,"headline":"Resources","link":{"title":"See All Resources","url":"\/en-gb\/resources\/","target":""},"use_most_recent_resources":true,"resources":[{"resource":6425},{"resource":1201},{"resource":1214}]}},"cta_group":{"show_section":true,"headline":"Ready to invest in the <span>premier compliance solution<\/span> on the market?","text":"","button":{"title":"Request a Demo","url":"https:\/\/www.comply.com\/en-gb\/book-a-demo\/","target":""}},"cta_wrap":{"cta_group":{"show_section":true,"headline":"Ready to invest in the <span>premier compliance solution<\/span> on the market?","text":"","button":{"title":"Request a Demo","url":"https:\/\/www.comply.com\/en-gb\/book-a-demo\/","target":""}}}},"yoast_head":"<!-- This site is optimized with the Yoast SEO plugin v26.4 - https:\/\/yoast.com\/wordpress\/plugins\/seo\/ -->\n<title>Total Compliance Program Management for Investment Banks | COMPLY<\/title>\n<meta name=\"description\" content=\"COMPLY&#039;s regulatory and technology experts have decades of experience helping investment banks navigate varied and complex regulatory requirements. 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