Compliance is complex. Navigating new rules, evolving amendments, and the numerous requirements that come with them can be an uphill battle for even the most sophisticated compliance programs. Luckily, we can help. As your partner in compliance, we provide the critical solutions and resources to bolster your processes and power up your program.
Employees are a critical component of your firm’s growth – working with clients, running behind the scenes operations, and making the day-to-day functional. They can also be one of the most significant points of compliance risk. Mitigate this risk with COMPLY Employee Compliance Solutions.
Monitor and mitigate potential Code of Ethics, Conflict of Interest, or Personal Trading violations with a data-backed solution supported by 300+ direct broker feeds.
LEARN MOREEasily capture, review, and archive your website, social media, email, text, off-channel communications, and any other means of contacting and engaging clients.
LEARN MORETake your training to the next level. Discover the compliance training and resources designed specifically to help your firm navigate regulatory complexities.
LEARN MOREEasily capture relevant employee functions, responsibilities, and certifications through the creation and distribution of digital SMCR forms.
LEARN MORECreate and customize your ADV Part 2B and Form CRS, with a technology-backed solution designed to help you tailor your documents to meet compliance standards.
LEARN MORELeverage real-time data for real-time insight to monitor and manage employee outside business activity and political contributions.
LEARN MOREMonitor Rep activity, run analytical reports, and, most importantly, comply with FINRA Rule 3270 and Supervisory Control Rules…with COMPLY.
LEARN MORECompare alternatives, provide best-interest recommendations, and stay in compliance.
LEARN MOREGet a 360-degree view of your firm’s risk points, with automated solutions designed to help you establish and maintain a comprehensive compliance program which continues to meet regulatory standards even as rules evolve.
Our Registration Team has helped thousands of firms with initial registration and ongoing support. We focus on the registration details. So you can focus on starting your firm.
LEARN MOREKeep your program at the top of its game with guided annual review and risk assessment solutions.
LEARN MOREElevate your compliance program with a calendar and bespoke content designed by compliance experts to help manage your firm’s compliance tasks.
LEARN MOREIdentify compliance risks before they become deficiencies with COMPLY’s Mock Audits and Compliance Reviews.
LEARN MORETrusted expertise to empower your compliance program. Leverage decades of regulatory knowledge to keep your program one step ahead.
LEARN MOREOur Registration Team has helped thousands of firms with initial registration and ongoing support. We focus on the registration details. So you can focus on starting your firm.
LEARN MOREStay ahead of the regulatory curve with educational resources covering the latest compliance topics.
LEARN MOREManage and mitigate MNPI risk with an integrated solution designed to improve visibility into potential conflicts at the firm and employee levels.
LEARN MOREEnsure proper filings on time, every time – with the support of COMPLY’s Regulatory Filings team.
LEARN MOREReady to register? Whether you’re registering with the SEC, FINRA, or state jurisdictions, we’ve got the expertise to guide you through the process and get your firm that much closer to serving your clients.
Whether SEC or State, we have the expertise to guide you through the entire registration process – and get your firm set up for success.
LEARN MOREReady to become a broker-dealer? One of the first steps: Registering with FINRA. Lean on our expertise to help you check registration off your to-do list.
LEARN MOREThird parties are a typical component of any firm. However, they do bring with them certain risk and compliance challenges. From cybersecurity to due diligence, COMPLY offers the solutions to support your firm and mitigate third-party compliance risk.
Don’t let third-party risk outweigh the benefit. Leverage COMPLY’s expertise to help you meet counterparty due diligence compliance requirements with ease.
LEARN MORESophisticated cyber-attack vectors pose a significant threat. Arm your firm with a cybersecurity and outsourced IT solution that’s up to the challenge.
LEARN MOREWith COMPLY as your partner, you can continue to utilize vendors for efficiency without sacrificing security.
LEARN MORELearn more about our extensive array of solutions and services designed to support your program and enhance your efficacy.