Compliance Intelligence, Built for the Agentic Era.

Most AI tools in compliance answer questions. The ComplyAI MCP Server does something fundamentally different. It connects Comply’s compliance intelligence directly to the AI tools your teams are already working in, enabling authorized compliance officers, advisors, and operations teams to build custom AI compliance agents without developers, without IT projects, and without waiting.

Agentic regulatory compliance capabilities coming to the Comply Platform soon, include:

• Trade preclearance: Employees submit requests in Teams, Slack, or any AI tool and receive an immediate decision, with full audit logs maintained in the Comply Platform
• Policy guidance: Advisers get instant, firm-specific answers grounded in your approved policies, delivered where they already work
• Morning briefings: Compliance officers receive daily summaries of open requests, certification gaps, and regulatory alerts, automatically compiled and delivered in Slack or email
• Certification and onboarding: New employees complete attestations and flag exceptions through an agentic workflow your compliance team controls
• Natural language reporting: CCOs ask questions like “which employees have open certifications?” and receive formatted answers directly in their AI tool

Supervised employees can submit trade preclearance requests directly in Microsoft Teams, Slack, Claude, ChatGPT, or any MCP-connected interface — no login to the Comply Platform required.

The agent identifies the employee, collects required fields conversationally, confirms the request, submits it to the Comply Platform, and returns the outcome — approved, denied, or pending manual review — all within a single chat.

• Full audit log recorded for every submission
• Firm-configured rules and restricted lists applied automatically
• CCO controls access by user group — enable or disable at any time

The ComplyAI MCP Server is generally available in May 2026. Join the waitlist to learn more.

Before integrating AI technology, firms should think through governance and risk. ComplyAI Consulting Services support AI risk assessments, mock audits, governance reviews, technology procurement guidance, and education programs for employees.

This advisory layer helps firms move from broad AI interest to a documented governance framework, aligned with regulatory expectations.

ComplyAI Policy Guide – an interactive chat tool – provides your employees with real-time answers grounded in your firm’s approved compliance manuals. It helps employees understand their obligations and make the right decisions without adding to compliance teams’ workloads.

As a single-tenant, policy-bound intelligence layer, it draws only from internal firm documentation – free from outside influence. With each answer, ComplyAI Policy Guide clearly cites its source material.

ComplyAI Calendar Builder turns compliance tasks and testing activities listed in your firm’s policies and Form ADV into structured compliance tasks.

By scanning Policies and Procedures, Written Supervisory Procedures, and compliance manuals, it helps generate calendar tasks based on firm-specific requirements.

The AI Governance Task Library gives firms a practical way to track AI oversight across the business.

Prebuilt calendar tasks, informed by Comply’s regulatory consulting experts, help teams document governance activities related to oversight, testing, review, and recordkeeping.

AI risk assessment questions and policy templates provide a structured approach to evaluating AI exposure and documenting the controls around its use.

These help guide compliance reflect on core governance considerations, making it easier to assess risk, define expectations, and build records aligned with regulatory scrutiny.

ComplyAI Support serves as an intelligent assistant within the Comply Platform, providing compliance teams with 24/7 access to guidance and answers to platform questions. It helps users quickly find information, understand functionality, and make the most out of Comply’s 360-degree compliance ecosystem.

This on-demand session brings together regulatory, security, and product leaders to break down what compliance teams need to demonstrate today: clear oversight, explainable outcomes, and documented control.

You’ll learn:

• How the SEC, FINRA, and FCA are signaling expectations around AI heading into 2026
• What regulators mean by governance, transparency, and accountability in the context of AI
• A practical understanding of agentic AI and why it raises different supervisory and risk questions
• How to evaluate and avoid “black box” decision-making while preserving human oversight

Explore how nearly 600 compliance leaders are adopting AI, advancing governance, and reshaping oversight across the industry.

1. 53%
   of compliance leaders cite employee understanding of policies as a persistent challenge
2. 96%
   are either using, or actively exploring, AI to enhance their programs
3. 49%
   say their firm has a formal AI policy and governance structure