ComplianceGuardian

Managing Form ADV disclosures manually is time-consuming and error-prone. Comply’s Brochure Architect streamlines brochure creation, review, and updates.

• Auto-generate personalized Form ADV Part 2B brochures using data feeds from your firm and FINRA
• Centralize ADV Forms 2A, 2B, and 3 in one platform
• Build firm-specific approval workflows and track version history
• Push updates automatically to avoid outdated or inconsistent disclosures

Managing a high volume of registered representatives comes with a sea of data and high regulatory stakes. Comply’s RepTracker empowers compliance teams to streamline supervision, automate workflows, and manage compliance with confidence.

• Aggregate registrations, employment history, training deadlines, OBAs, and more into a centralized record
• Automate alerts for pending deadlines, rep activity, or supervisory gaps
• Run analytical reports across CRD data and custom fields

Static documents often lead to outdated controls, inconsistent supervision, and exam-day vulnerabilities. Comply’s Intelligent Policy Builder enables you to centralize control, align policies with current rules, and ensure defensible documentation.

• Draft and manage your Code of Ethics, Policies and Procedures, Written Supervisory Procedures, and AML Manual
• Use pre-built SEC and FINRA templates – no need to start from scratch
• Access compliance insights delivered by Comply’s consulting team
• Maintain a defensible record of changes with timestamped versioning