COMPLY Fiduciary Suite
COMPLY Fiduciary Suite is a centralized, comprehensive solution for managing end-to-end compliance with fiduciary duty of care obligations and best interest requirements. Advisors and brokers use COMPLY Fiduciary Suite to disclose the basis for investment account recommendations and comply with regulatory requirements from the SEC’s Investment Advisers Act of 1940, Reg BI, and the Department of Labor (DOL) PTE 2020-02 rule and amendments. Three solutions make up this dynamic offering: AccountCompare, PeerCompare, and RolloverAnalyzer.
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The Latest News and Insights from COMPLY
Your client’s best interest is your best interest. Meet the suite of solutions designed to help you COMPLY with confidence.
Compliance with Confidence
You put your customers first. We put you first. Comply with the SEC’s Investment Advisers Act of 1940, Reg BI, the Department of Labor (DOL) PTE 2020-02 rule, empowered by a technology partner committed to helping you achieve and maintain compliance.
WITH CONFIDENCE.
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United States Regulation Rundown
Download COMPLY’s Regulation Rundown for more information on the rules and regulations likely to impact firms over the next 12 months.