Introducing the one-stop-shop for your RIA compliance needs. Meet state and SEC regulations, maintain compliance standards, and automate manual tasks – all from one platform.
Introducing the one-stop-shop for your RIA compliance needs. Meet state and SEC regulations, maintain compliance standards, and automate manual tasks – all from one platform.
Discover how the intuitive capabilities within the RIA in a Box Platform help RIA and Wealth Managers comply with all applicable SEC and State regulations.
Establish and scale your compliance program with a platform designed to support critical functionality for day-to-day and strategic compliance activities.
Access a customized version of the platform designed exclusively for private fund advisers.
Confidently meet the archiving requirements set by SEC Rule 204-2 and prepare for regulatory examinations with organized and easily retrievable data.
Leverage the employee trade monitoring solution to create easy-to-use employee pre-clearance processes, streamline workflows and approvals, and provide actionable insight.
Leverage COMPLY’s integrated solution via The RIA in a Box Platform, to complete NASAA’s IAR requirements with ease!
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.
Take advantage of everything third-party vendors have to offer without increasing your risk.
Manage your fiduciary duty of care and best interest requirements with a centralized, comprehensive suite of tools.
“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.”
Check out our FAQs and resource documents to learn more about why RIAs and Wealth Managers use RIA in a Box as their one-stop-shop for all things compliance.
Effectively manage and automate your regulatory responsibilities with the support of an integrated compliance platform backed by an expert compliance consulting team.
Download nowCOMPLY™ is an approved continuing education provider, with resources and training materials available on the RIA in a Box® Platform.
Download nowManage complex regulatory tasks with software designed by registered investment advisers compliance experts.
Download nowThe RIA in a Box® Communications Archiving and Review solution enables registered investment adviser (RIA) firms to store, retrieve, and filter communications all within a single place.
Download nowThe RIA in a Box® Platform combines our team of compliance experts with an online software platform to help registered investment adviser (RIA) firms better manage and automate regulatory responsibilities.
Download nowThe RolloverAnalyzer and Rollover Dashboard provides advisers with an intuitive digital solution to assess, document, and disclose rollover recommendations to meet the DOL’s PTE 2020-02 compliance requirements, including the retrospective review.
Download nowPeerCompare generates a product peer group of reasonably available alternatives, comparing cost, risk, and return.
Download nowRIA firms and technology providers can access the platform open application programming interface (API) for no additional charge. Firms can access their compliance data via the API to help better automate internal processes and data management.
Download nowThe RIA in a Box® Cybersecurity Platform empowers registered investment adviser (RIA) firms to design and implement a comprehensive cybersecurity compliance program with a single solution.
Download nowAs part of the Comprehensive Solution, our experienced team of compliance consultants will develop and implement a specialized compliance program designed to support the complex regulatory needs of your firm.
Download nowPrivate fund advisers gain access to a customized version of our industry-leading RIA in a Box® online RIA compliance software platform which includes access to our proprietary Private Fund Platform.
Download nowYes, the restricted securities list is fully customizable 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’s settings. In addition, any security purchased or sold by an access person that is listed on the firm’s restricted security list is flagged by the system for further review. All historical restricted securities are archived.
Yes, the tool is designed to help meet the SEC’s Rule 204A-1 (Code of Ethics Rule) requirements as it relates to personal securities trading. The Code of Ethics rule requires all access persons of an RIA firm to submit securities holdings and transaction reports to the firm’s chief compliance officer (CCO) or other designated person(s). The system automatically creates holdings and transactions reports, which are then reviewed and attested to by the firm’s access persons prior to submission.
Yes, the solution can be customized to your firm’s unique needs through connection sourcing and by pairing it with the RIA in a Box platform.
Discover why investment management, private equity, hedge funds, and more rely on The ComplySci Platform to automate tasks, monitor compliance protocols, and mitigate risk.
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