COMPLY Products

ComplySci’s scalable and sophisticated platform enables firms of all sizes to accurately and effectively monitor and mitigate compliance risks associated with employee trade monitoring, MNPI, and more.

• Employee trade monitoring, including Digital Asset Monitoring
• Compliance program management
• Control Room
• And more

Manage complex regulatory tasks with the compliance solution designed by RIA compliance experts to address an RIA’s unique compliance needs.

• Compliance program management for RIAs
• Communications archiving and review
• Rollover Analyzer and Dashboard
• And more

The illumis Platform, the leading public data monitoring platform, enhances transparency, reduces risk, and supports ongoing compliance.

• Political contribution compliance
• Outside Business Activity Verifications
• Public records search and monitoring

Designed to be the backbone of your firm’s compliance infrastructure, ComplianceGuardian is your best resource to guard against compliance risk.

• Compliance document management including Policies and Procedures, WSPs, Code of Ethics, and more
• Disclosures management including Form ADV 2B, Form CRS, and Reg BI disclosures
• Registration and License tracking
• And more