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Comply for Hedge Funds

Protect Trade Integrity. Manage Information Risk. Prove Your Program Works.

You run a high-performance strategy. We help you build the compliance program that stands up at the exam and the LP meeting.  

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Signing contract. Investor and contractor

Built for how hedge funds operate.

From trade allocation to expert network compliance,
Comply gives hedge fund CCOs the tools to supervise confidently.

Protect Trade Integrity

Cherry-picking and front-running are top SEC examination priorities. Comply’s trade monitoring compares employee accounts against fund positions so allocation issues surface before they escalate.

Manage MNPI from Every Source

Expert networks. Earnings calls. Deal rooms. Comply documents information barriers, wall crossings, and restricted-list decisions – so when the examiner asks, the answer is already captured.

Stay Ahead of SEC Examination

Hedge funds are consistently under scrutiny by the SEC. Comply builds continuous documentation risk assessments, supervision records, attestation logs so your program is exam-ready every day.

Meet 13F and Form PF Requirements

Quarterly 13F filings and large-fund Form PF reporting carry significant penalties for errors. Comply's regulatory filing experts handle every submission accurately and on time.

Comply with the Marketing Rule

Limited Partner (LP) marketing decks, performance advertising, and investor communications fall under the Marketing Rule. Comply's marketing review service checks your materials against SEC standards before they leave the firm.

Scale Compliance Without Scaling Headcount

From a $200M emerging manager to a multi-billion-dollar fund, Comply grows with you. One partner covering employee compliance, firm compliance, consulting, and continuing education.

Compliance Solutions for Hedge Funds

Hedge fund compliance has its own risk profile, its own examiner focus, and its own filing calendar. Comply is built for all of it.

Comply Trade Monitoring

Employee Trade Monitoring

Monitor personal trading relative to fund positions across 330+ direct broker feeds, managed in-house, including digital asset exchanges and prediction market platforms. For quant and systematic strategies, Comply’s Black Box Firm Trade API accepts firm trade data at the security level via secure API. Your model stays proprietary, and no position data is stored on the platform. 

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Comply Control Room COI

Comply Deal Shield

Capture every deal, insider, and wall crossing governed in the same platform that runs your code of ethics. MNPI controls are enforced, documented, and defensible.​

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Code of Ethics and Certifications

Automate attestations and certifications tied to your Code of Ethics. Comply flags missing or overdue items and follows up automatically. Supervisory record stays clean with no manual chasing.

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Case Management Isolated

Case Management

Resolve every potential violation with a documented, auditable workflow. A flagged trade, a missing attestation, a conflict of interest (COI) disclosure – Comply’s case management tracks each one from identification to resolution.

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Comply Risk Assessment

Risk Assessment and Annual Review

Identify program gaps before an examiner does. Comply’s regulatory experts lead your annual review and risk assessment, prioritize remediation, and deliver findings in a format examiners expect. Comply Platform will capture documentation continuously throughout the year, so nothing is rushed at year-end.

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Who We Serve - form

Regulatory Filings Services

Meet every filing deadline with accuracy. Comply’s regulatory filing experts manage 13F, Form PF, and Form ADV end to end.

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Marketing Review Managed Services

Clear every investor-facing document before it leaves the firm. Comply compliance consultants review marketing materials, performance presentations, and investor communications against current Marketing Rule standards.

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FAQs

You've got questions. We've got answers.

Built a compliance program from scratch? Inheriting a program from a founder? Navigating your first SEC exam? Comply has worked with hedge funds at every stage.

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How is a hedge fund's compliance program different from other private funds?

Hedge funds face a distinct compliance profile, including personal trading relative to fund positions, trade allocation integrity, short-selling considerations, expert network documentation, and – for larger funds – Form PF systemic risk reporting.

How does Comply protect proprietary trading models and black box strategies?

Comply’s Black Box Firm Trade API accepts firm trade data at the security level via secure API. Comply compares it against employee trading activity and returns only the intersecting records. Your proprietary model and full position data are never saved on the platform.

Can Comply support 13F and Form PF filings?

Yes. Comply’s regulatory filing team handles 13F, Form PF, Form ADV, and other recurring filings for US-registered hedge fund advisers. Our team manages submission and stays current on SEC guidance to ensure accuracy and on-time delivery.

How does Comply help with the SEC Marketing Rule?

Comply’s managed services provides human-reviewed sign-off on marketing materials, performance presentations, and investor communications. Consultants assess materials against current Marketing Rule requirements and document the rationale.

How does Comply handle employee trade monitoring for hedge fund compliance officers?

Comply connects to 330+ broker feeds directly, managed in-house, including digital asset exchanges. Kalshi support is coming soon. Employees submit accounts; Comply monitors personal trading in near real time against restricted lists and fund positions. Compliance officers get dashboards and alerts. Examiners get a complete audit trail.

Can Comply support multi-entity or multi-jurisdictional hedge fund structures?
Yes. Comply’s compliance calendar and program management tools support multi-entity structures and track obligations across jurisdictions. US, UK, or other regulatory regimes – managed without separate systems.
How long does onboarding typically take?

Typical onboarding runs six to eight weeks, covering data loading, system configuration, broker feed setup, and supervisor training. Larger or more complex structures are scoped individually. As a new client, you’ll get a dedicated onboarding manager who will guide you through Comply’s systematic approach for ingesting broker feeds, creating robust rules and workflows to manage your code of ethics requirements, restricted lists, and approval cycles. Onboarding managers will walk you through how to set up and use Comply platform for compliance supervisors and managers and supervised employees. 

What type of customer support does Comply provide?

Comply’s client experience team offers a dedicated client success manager (CSM) to help you optimize your investment. Comply University provides on-demand training, live office hours, and workshops to help you and your team learn how the platform works, learn about new products, get a deeper dive into product enhancements and new modules, and more.  

Comply provides 24/5 support with direct access to compliance expertise via phone and email. Tory, Comply’s AI support agent powered by the Comply resource center, is available 24/7 to answer questions about how to use the Comply platform. 

For hedge funds with regulatory filing or consulting needs, your team has a direct line to specialists in those areas. 

How can I schedule a demo?

Complete this  to schedule a full demo and see firsthand what our compliance solutions can do for you. 

Resources

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The SEC Just Told You Exactly How It Will Grade Your Annual Compliance Review
  • Blog

The SEC Just Told You Exactly How It Will Grade Your Annual Compliance Review

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The 2026 CCO Playbook
  • Whitepaper

The 2026 CCO Playbook

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Meeting hedge fund compliance requirements while using a black box trading model
  • Blog

Meeting hedge fund compliance requirements while using a black box trading model

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Compliance built for how hedge funds operate.

Whether you're an emerging manager building your first program or a multi-billion-dollar fund inheriting one, Comply gives you a single partner for employee compliance, firm compliance, regulatory filings, and consulting. See how Comply helps hedge fund CCOs supervise with confidence and keep every record exam-ready.

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