Strengthen Your Compliance Program. Minimize Risk.

Comply’s Compliance Review Services are designed to help your firm assess, enhance, and validate your compliance program against evolving SEC, FINRA, and state regulations. Delivered by former regulators, CCOs, and legal professionals, our reviews are not just box-checking exercises – they’re strategic assessments aligned to your business objectives. 

Key Offerings: 

• Mock SEC Exams: Simulate real exam conditions and identify gaps before regulators do. 

• Annual Compliance Review: Meet SEC requirements with comprehensive reviews of policies, procedures, and supervisory controls. 

• AML Audits: Satisfy FINRA and FinCEN audit mandates through rigorous program testing. 

• Compliance Program Reviews: Testing your program against industry best practices to identify and mitigate risks. 

Whether you need help interpreting a new rule or revising core procedures, Comply’s consulting services provide flexible, expert-led support. Our consultants act as strategic partners – guiding, reviewing, and managing compliance initiatives tailored to your firm. 

Why Comply: 

• Deep bench of former regulators and CCOs 

• Expertise on SEC rules, FINRA updates, and state regulations 

Our Ongoing Compliance Support services deliver continuous access to compliance consultants and resources to manage reviews, policy updates, registrations, and more. 

Support Packages Include: 

• Unlimited consulting 

• Document and marketing reviews 

• Policy and procedure support 

• Registration management 

Our experienced compliance administrators take on the critical but time-intensive responsibilities that keep your program running smoothly. From email reviews to Code of Ethics, we handle a wide range of compliance responsibilities, enabling you to focus on strategic initiatives. 

Core Services: 

• Code of Ethics administration 

• Advertising and email review 

• Political contribution compliance 

• Form U4/U5 and ADV/BD maintenance 

• Broker feed maintenance 

Comply’s Counterparty Due Diligence helps firms make informed decisions before acquiring, investing in, or partnering with another firm. Our independent assessments identify risks in governance, controls, and compliance procedures. 

We Offer: 

• Comprehensive due diligence for acquisitions, investments, and partnerships 

• Risk-focused assessments conducted by compliance professionals 

• Actionable reports aligned with industry best practices 

From phishing simulations to outsourced IT environments, we help you stay protected and prepared. 

Solutions Include: 

• NIST-aligned cybersecurity compliance programs 

• Virtual Desktop Infrastructure  

• Phishing simulations and training 

• Security policies and incident readiness