Compliance for Registered Investment Advisers

Comply’s Compliance Calendar helps you manage deadlines and document activity without the spreadsheet sprawl. And as you complete activities, everything is logged – streamlining documentation and preparing you for future exams.

• Pre-loaded with tasks based on your firm profile
• Embedded best-practice instructions written by compliance experts
• Customize calendar entries, assign ownership, and track progress
• Generate reports with a full audit trail of activities for stakeholders and regulators

From initial registration to ongoing filings, Comply helps navigate complexity.

Our experts guide you through each step of the registration process and support your team with timely, regulator-ready filings.

• Support for both SEC and state RIA registration
• Prepare and file Form ADV (Parts 1, 2A, 2B, 3) – and more
• Draft essential documents like your Code of Ethics and Policies and Procedures
• Handle ongoing communication with regulators, including timely responses to deficiency letters

Capture and archive emails, social media posts, and website content – so you can supervise confidently and respond quickly when exam time comes.

• Archive email, social, and web content in a WORM-compliant manner
• Filter and retrieve archived content by channel, keyword, and date range
• Customizable review parameters allow for heightened supervision and better sampling   
• Centralized compliance log enables you to track and document completed reviews

No more end-of-year fire drills. Comply’s Annual Review Tool helps you document your compliance activities as you go – enabling quick generation of your annual review report.

• Guided workflow aligned with SEC Rule 206(4)-7
• Simultaneously execute, document, and analyze compliance activities throughout the year
• Export a comprehensive report – whenever you need it

Comply’s Risk Assessment Tool helps you evaluate key risk areas, link them to policies, and create a defensible record – all in one place.

• Step-by-step evaluation of key risk areas like cybersecurity, vendor risk, frequent traders, and more
• Assign risk ratings on a scale; link them to existing or updated policies
• Surface gaps, track mitigation, and drive continuous improvement
• Export reports for audits, board reviews, or internal analysis

From personal trading to outside business activities (OBAs), Comply gives you a structured way to oversee employees – and maintain clear documentation along the way.

• Manage certifications, attestations, OBAs, and personal trading
• Automate preclearance workflows and flag restricted activity
• Review and reconcile trades against policies, restricted lists, blackout periods, and client transactions
• Maintain audit logs to document supervision activities

Construct and implement a customized cybersecurity compliance program within a single solution, with best practices built upon the five pillars of the NIST cybersecurity framework.

• Email phishing attack simulation
• Third-party vendor due diligence
• Technology inventory and risk assessment