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A comprehensive compliance program is multi-faceted, addressing a firm\u2019s core risk points based on business activity and operations. The answer to managing the daily details? Automation.<\/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":11724,"id":11724,"title":"RIAB Private Funds","filename":"RAIB-Private-Funds-1.png","filesize":1091151,"url":"https:\/\/www.comply.com\/wp-content\/uploads\/2024\/08\/RAIB-Private-Funds-1.png","link":"https:\/\/www.comply.com\/en-gb\/products\/comply-ria\/raib-private-funds-2\/","alt":"","author":"12","description":"","caption":"","name":"raib-private-funds-2","status":"inherit","uploaded_to":875,"date":"2025-01-07 23:50:12","modified":"2025-01-07 23:50:12","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\/2024\/08\/RAIB-Private-Funds-1-150x150.png","thumbnail-width":150,"thumbnail-height":150,"medium":"https:\/\/www.comply.com\/wp-content\/uploads\/2024\/08\/RAIB-Private-Funds-1-300x202.png","medium-width":300,"medium-height":202,"medium_large":"https:\/\/www.comply.com\/wp-content\/uploads\/2024\/08\/RAIB-Private-Funds-1-768x518.png","medium_large-width":768,"medium_large-height":518,"large":"https:\/\/www.comply.com\/wp-content\/uploads\/2024\/08\/RAIB-Private-Funds-1-1024x691.png","large-width":1024,"large-height":691,"1536x1536":"https:\/\/www.comply.com\/wp-content\/uploads\/2024\/08\/RAIB-Private-Funds-1-1536x1036.png","1536x1536-width":1536,"1536x1536-height":1036,"2048x2048":"https:\/\/www.comply.com\/wp-content\/uploads\/2024\/08\/RAIB-Private-Funds-1-2048x1381.png","2048x2048-width":2048,"2048x2048-height":1381,"menu-24x24":"https:\/\/www.comply.com\/wp-content\/uploads\/2024\/08\/RAIB-Private-Funds-1-24x16.png","menu-24x24-width":24,"menu-24x24-height":16,"menu-36x36":"https:\/\/www.comply.com\/wp-content\/uploads\/2024\/08\/RAIB-Private-Funds-1-36x24.png","menu-36x36-width":36,"menu-36x36-height":24,"menu-48x48":"https:\/\/www.comply.com\/wp-content\/uploads\/2024\/08\/RAIB-Private-Funds-1-48x32.png","menu-48x48-width":48,"menu-48x48-height":32}},"content":"

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":"Policies and Procedures\/Code of Ethics Management","image":{"ID":11729,"id":11729,"title":"MRC ETM","filename":"MRC-ETM-2.png","filesize":888649,"url":"https:\/\/www.comply.com\/wp-content\/uploads\/2024\/08\/MRC-ETM-2.png","link":"https:\/\/www.comply.com\/en-gb\/products\/comply-ria\/mrc-etm-3\/","alt":"","author":"12","description":"","caption":"","name":"mrc-etm-3","status":"inherit","uploaded_to":875,"date":"2025-01-08 01:02:42","modified":"2025-01-08 01:02:42","menu_order":0,"mime_type":"image\/png","type":"image","subtype":"png","icon":"https:\/\/www.comply.com\/wp-includes\/images\/media\/default.png","width":2335,"height":1684,"sizes":{"thumbnail":"https:\/\/www.comply.com\/wp-content\/uploads\/2024\/08\/MRC-ETM-2-150x150.png","thumbnail-width":150,"thumbnail-height":150,"medium":"https:\/\/www.comply.com\/wp-content\/uploads\/2024\/08\/MRC-ETM-2-300x216.png","medium-width":300,"medium-height":216,"medium_large":"https:\/\/www.comply.com\/wp-content\/uploads\/2024\/08\/MRC-ETM-2-768x554.png","medium_large-width":768,"medium_large-height":554,"large":"https:\/\/www.comply.com\/wp-content\/uploads\/2024\/08\/MRC-ETM-2-1024x739.png","large-width":1024,"large-height":739,"1536x1536":"https:\/\/www.comply.com\/wp-content\/uploads\/2024\/08\/MRC-ETM-2-1536x1108.png","1536x1536-width":1536,"1536x1536-height":1108,"2048x2048":"https:\/\/www.comply.com\/wp-content\/uploads\/2024\/08\/MRC-ETM-2-2048x1477.png","2048x2048-width":2048,"2048x2048-height":1477,"menu-24x24":"https:\/\/www.comply.com\/wp-content\/uploads\/2024\/08\/MRC-ETM-2-24x17.png","menu-24x24-width":24,"menu-24x24-height":17,"menu-36x36":"https:\/\/www.comply.com\/wp-content\/uploads\/2024\/08\/MRC-ETM-2-36x26.png","menu-36x36-width":36,"menu-36x36-height":26,"menu-48x48":"https:\/\/www.comply.com\/wp-content\/uploads\/2024\/08\/MRC-ETM-2-48x35.png","menu-48x48-width":48,"menu-48x48-height":35}},"content":"

Generate, implement, and maintain comprehensive Policies and Procedures tailored specifically to your firm’s risk profile and business operations. Align this critical documentation with day-to-day monitoring of employee trades, outside business activities, and more.<\/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":"The customer service at Comply is special. They are all extremely knowledgeable and friendly. I appreciate the team always allows me the opportunity to walk through the product and learn, so I can reduce the times I must reach out again in the future.","quote_author_name":"Jackie Jacobs, VSS","show_stats":false,"stats_list":false},"quote_wrap":{"quote_wrap_group":{"show_section":true,"image":false,"full_size_quote":true,"quote_text":"The customer service at Comply is special. They are all extremely knowledgeable and friendly. I appreciate the team always allows me the opportunity to walk through the product and learn, so I can reduce the times I must reach out again in the future.","quote_author_name":"Jackie Jacobs, VSS","show_stats":false,"stats_list":false}},"faqs_group":{"show_section":true,"sub_head":"Frequently Asked Questions","headline":"You've got questions. We've got answers.","text":"

Have a few questions after exploring our solutions and capabilities for Wealth Managers? Check out some of the most frequently asked questions for all your answers.<\/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 wealth managers?","answer":"

Comply offers various solutions for wealth managers to streamline their compliance tasks and efficiently meet regulatory requirements. Learn more about our compliance solutions, including the ComplySci Platform and Control Room.<\/p>\n","link":""},{"question":"Are there specific compliance solutions for wealth managers?","answer":"

Yes, Comply offers various wealth management specific solutions such as compliance support, employee supervision, and SMCR.<\/p>\n","link":""},{"question":"What type of customer support is provided?","answer":"

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

You can contact our Customer Support team\u00a0<\/span>here.<\/span><\/a><\/strong><\/p>\n","link":""},{"question":"How long does the onboarding process usually take?","answer":"

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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
\n
<\/div>\n
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":""},{"question":"How can I schedule a demo?","answer":"

Complete this\u00a0<\/span>form<\/span><\/a><\/strong> to schedule a full demo and see firsthand what our compliance solutions can do for you.<\/span><\/p>\n","link":""},{"question":"Does the system allow CCOs to manage a restricted securities list?","answer":"

Yes, the restricted securities list is fully customisable for firms which implement a trade pre-clearance program. When implemented, each access person submits a trade request, which is then automatically approved or held for approval based on the firm\u2019s settings. In addition, any security purchased or sold by an access person that is listed on the firm\u2019s restricted security list is flagged by the system for further review. All historical restricted securities are archived.<\/span><\/p>\n","link":""},{"question":"Why do I need to archive my firm's website?","answer":"

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