The Registered Investment Adviser's Solution for Regulatory Compliance
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Meet state and SEC regulations, maintain compliance standards like fiduciary duty, and automate manual tasks all from one platform.
Establish and scale your compliance program. The comprehensive compliance program management technology provides critical functionality for day-to-day and strategic compliance activities, including registration tracking, compliance activity logging, and risk assessment. Choose from tiered software package offerings to select the best option for your state or SEC-registered RIA firm. All compliance software packages include our standard level of service. You can choose to add enhanced compliance consulting support.
Access a customized version of the platform designed exclusively for private fund advisers. With Private Fund Platform, you have a centralized location for all private fund information, Form ADV, Form PF, Form D, and Blue Sky filings.
Confidently meet the archiving requirements set by Securities and Exchange Commission (SEC) Rule 204-2 and prepare for regulatory examinations with organized and easily retrievable data.
Never get caught off guard when it comes to the Securities and Exchange Commission’s (SEC) Code of Ethics. Our employee trade monitoring solution allows you to create easy-to-use employee pre-clearance processes, streamline workflows and approvals, and provides actionable insight with customizable reports.
In 2020, NASAA implemented an IAR continuing education requirement to ensure its members receive proper and updated training on the securities business relevant to their duties and obligations. Leverage COMPLY’s integrated solution via The RIA in a Box Platform, to complete your IAR requirements with ease!
Construct and implement a customized cybersecurity compliance program within a single solution.
Proper vendor management and due diligence is critical to every firm’s compliance program. Take advantage of everything third-party vendors have to offer without increasing your risk.
A centralized, comprehensive suite of tools for managing investment advisor and broker-dealer compliance that eliminates guesswork and manual processes around fiduciary duty of care and best interest requirements.
Integrated direct broker feeds from more than 300 brokerage firms and a robust data normalization process provide unrivaled information accuracy and dependability.
Effectively manage and automate your regulatory responsibilities with the support of an integrated compliance platform backed by an expert compliance consulting team.
COMPLY™ is an approved continuing education provider, with resources and training materials available on the RIA in a Box® Platform.
Manage complex regulatory tasks with software designed by registered investment advisers compliance experts.
The 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.
The 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.
The 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.
PeerCompare generates a product peer group of reasonably available alternatives, comparing cost, risk, and return.
RIA 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.
The 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.
As 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.
Private 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.
Yes, 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.
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Aggregating data from hundreds of public data sources, the illumis Platform enables firms to accurately and effectively track political contributions, OBAs, and more.
Aggregating data from hundreds of public data sources, the illumis Platform enables firms to accurately and effectively track political contributions, OBAs, and more.
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.
Easily implement and manage a comprehensive compliance program with the compliance solution designed to address an RIA’s unique compliance requirements.
Designed to be the backbone of your firm’s compliance infrastructure, ComplianceGuardian is your best resource to guard against compliance risk.
Meet your new Qualified Technology Partner. COMPLY offers a comprehensive approach to your firm’s technology needs with Itegria Virtual Desktop.
Download COMPLY’s Annual Review Guide for an analysis of the annual review process, testing protocols, and documentation requirements.