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The details matter. We help you get them right.
Timely, accurate filings are mission-critical to regulatory compliance. Yet the process is time-consuming, detail-heavy, and unforgiving of mistakes. A missed deadline or small error can escalate into penalties or exam findings.
Comply’s experts bring decades of regulatory experience to streamline the process. We help manage filings end to end – so your team can focus on strategy.
Misalignment across Parts 1, 2A, 2B, and 3 (Form CRS) is a common exam deficiency. Comply helps you maintain accuracy across all required submissions.
Annual Updating Amendments (AUA) keep Form ADV accurate and current, and reestablish a firm’s basis for registration. They’re a regulatory obligation and one of the first touchpoints examiners review when assessing a compliance program. Comply facilitates these updates, clarifies confusion sections, and helps to ensure timely and accurate submissions.
Large traders face complex, recurring SEC requirements. Comply simplifies both:
We ensure submissions are accurate, on time, and aligned with SEC expectations.
Among other things, Form PF is the SEC’s window into private fund risk. It requires detailed reporting, including assets, investor composition, and fund strategy, to name a few – making it a considerable regulatory obligation. Comply provides relief, helping to ensure that your Form PF is filed accurately and on time.
Broker-dealers must register with the SEC, FINRA, and state regulators via Form BD. Comply supports both initial registration filings and ongoing updates and amendments.
I love that the company has created a culture that solicits feedback to continually evolve the product to fit the customers’ needs. The support team is incredibly knowledgeable, and it shows!
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.
Enhance efficiency. Ensure effectiveness. With filings backed by Comply experts.
