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Communications Archiving and Review

According to SEC Rule 204-2 of the Investment Advisers Act of 1940, every SEC-registered investment adviser is required to keep true, accurate, and current books and records about its business activities. Included in the long list of required records are certain written communications – which means your website, social media, email, text, other off-channel communications, and any other means of contacting and engaging clients must be captured and archived in a manner prescribed in the rule.

Simplify the communications archiving and review process with the all-in-one solution by COMPLY.

Archiving and Review with Confidence

Meet your jurisdictions books and records compliance requirements with a technology-backed solution designed to capture, store,  and archive. With COMPLY. 



2024 Annual Review Guide

Download COMPLY’s Annual Review Guide for an analysis of the annual review process, testing protocols, and documentation requirements.