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Focus on strategy. Let us handle the administration.
Compliance leaders face mounting expectations with finite resources. Recurring tasks like filings, reviews, and data entry are essential – but they pull attention away from higher-value oversight.
Comply’s services teams provide expert support to keep your program running smoothly. From e-communication reviews to regulatory filings to broker feed maintenance for code of ethics purposes, we take on the manual and administrative work that drains compliance bandwidth – so your team can focus on managing risk.
Pay-to-play rules carry real enforcement risk. Comply helps you manage compliance with SEC, MSRB, FINRA, and CFTC regulations, including:
Our team reviews and reports on political contributions from covered associates, helping your firm navigate regulatory complexity.
Filing obligations can drain compliance bandwidth. Comply’s administrative support covers amendments for:
All filings are completed via IARD/FINRA, ensuring accuracy and efficiency.
A Code of Ethics program demands careful attention to detail – and significant time. Comply handles the recurring administrative tasks so you don’t have to, including:
Manual data processes slow down compliance oversight and increase the risk of gaps. Comply’s data support ensures accurate, centralized records by handling:
With accurate, complete data housed in one platform, you gain a single source of truth for compliance testing and audits.
Wearing two hats, I was very busy doing manual compliance tasks which were not the best use of my time and there were other things I could be doing that would be more beneficial to the firm. I knew the way we were doing things before was never going to scale going forward, considering our aspirations for growth.
Integrated direct broker feeds from more than 300 brokerage firms and a robust data normalization process provide unrivaled information accuracy and dependability.
Powerful integration capabilities facilitate data connections between our platform and other industry-leading solutions, enhancing communications, increasing efficiency, and providing a seamless customer experience.
Decades of regulatory expertise power Comply’s premier compliance education programs. With courses designed for CCOs, IARs, and more, Comply empowers our clients to elevate their program and their career…raising the standard of regulatory compliance across the industry.
Incorporating direct feedback from Comply’s portfolio of firms, we continuously implement the enhancements that matter most to our clients. We go beyond technology to offer a breadth of services and solutions designed to meet our clients’ unique needs and challenges, including digital asset trade monitoring, compliance program management, consulting services, compliance education, and more.
The Comply team is comprised of former CCOs, former regulators, and experienced lawyers. We understand the challenges you face because we’ve been there. Our deep bench of industry expertise – which includes expansive knowledge in technology enablement and regulatory compliance protocols and processes – supports more than 7,000 clients.
Let us be an extension of your back office and provide support from our dedicated subject matter experts when you need it most. Customer support is available 24/5.
You focus on the big picture. We’ll take care of the administrative compliance tasks.