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Firm Types
Private Funds
From MNPI to conflicts of interest and beyond. We help you manage the full scope of your compliance program.
Wealth Management & RIAs
It’s time to make compliance manageable. Meet the one-stop-shop for all your compliance needs.
Broker-Dealers
Don’t let regulatory burdens overun your broker-dealer firm. Manage compliance with ease. How? With Comply.
Investment Banks
Invest in the only compliance solution able to provide a full 360-degree view of risk. Invest in a scalable, configurable solution designed to meet your needs.
Endowments
Uphold institutional trust with scalable oversight. We help endowments manage conflicts, track disclosures, and align with fiduciary standards.
Solutions
Employee Compliance
Trade Monitoring
Code of Ethics
Conflicts of Interest
Case Management
Reporting & Analytics
Political Contributions and OBA Monitoring
Individual Accountability
Firm Compliance
ComplyAI
Compliance Calendar
Risk Assessments
Annual Review
Intelligent Policy Builder
Best Interest Compliance
Communications Archiving
Comply’s Communications & Archiving solution helps firms meet these requirements with a centralized system that strengthens oversight, reduces manual review burdens, and maintains a robust record of supervision.
Products
Comply Product Suite
Comply Platform (formerly ComplySci)
The comprehensive solution to meet your complex compliance requirements.
Comply for RIA (formerly RIA in a Box)
Manage the full scope of your compliance program from one platform.
illumis
Real-time political contribution monitoring and intelligence to ensure pay-to-play compliance.
ComplianceGuardian (formerly NRS)
Comply helps firms reduce manual processes, strengthen supervisory control, and maintain defensible documentation.
Comply Accountability (IAR)
Services
Registration Services
Regulatory Compliance Consulting
Regulatory Filings
Managed Services
Education
Education
Resources
Check out the latest blogs, articles, guides, and more to help you stay a step ahead of the regulatory curve.
Online Courses
Continue your regulatory education and certification requirements with our live and on-demand courses.
Events and Webinars
From upcoming webinars to in-person conferences, check out these must-attend events.
Continuing Education
Complete your courses and maintain your requirements – with Comply.
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Comply Events & Webinars
Insights and best practices from compliance experts.
The 2026 COMPLY EDUCATION COURSE CALENDAR
Resources
Check out the latest blogs, articles, guides, and more to help you stay a step ahead of the regulatory curve.
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Events
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Event
Future Proof Festival 2026
September 14-17, 2026
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AFME European Compliance & Legal 2026
Paris, France
21 - 22 September, 2026
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SEI Advisor Summit
Nashville, TN
September 27th - 29th, 2026
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Global RegTech Summit USA
September 29, 2026
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Compliance Institute Annual Conference 2026
Dublin, Ireland
October 15, 2026
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Hedge Fund Legal and Compliance Summit 2026 | Europe
St Albans, UK
October 12 - 13, 2026
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Schwab IMPACT
Boston, MA
October 27th - 29th, 2026
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ComplyConnect 2026
November 8-11, 2026
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NSCP National Conference 2026
October 25-28, 2026
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PEI Private Fund Compliance Operations Forum
New York City, NY
December 1st - 2nd, 2026
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Webinar
From Detection to Documentation: Case Management in Motion
On-demand
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Webinar
The SEC in 2026 and Beyond: Enforcement Priorities in a Deregulatory Era
On-demand
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Webinar
The CMO and CCO Guide to Marketing Rule Compliance for Growth-Focused Teams
On-demand
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Designing a Risk-Based Compliance Monitoring Programme
On-demand
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2026 Comply Platform Roadmap and Showcase
On-demand
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