COMPLY
HQ Address
136 Madison Ave, 6th Floor, New York, NY 10016 United States
Website Address
Business introduction
COMPLY With Confidence
Complex compliance challenges demand comprehensive compliance solutions. We deliver
As a global market leader in regulatory compliance solutions, COMPLY combines the power of regulatory technology, services and education to empower Chief Compliance Officers (CCOs) and compliance professionals to easily navigate the regulatory landscape. COMPLY enables firms to scale their growth, while remaining vigilant in their compliance efforts by providing solutions designed to manage the burden of complex compliance tasks. Our deep bench of industry expertise – which includes expansive knowledge in technology enablement and regulatory compliance protocols and processes – supports more than 7,000 clients, including investment management firms, private equity firms, hedge funds, broker-dealers, registered investment advisers and other financial service sector participants.
COMPLY continually supports clients in their work to proactively address core compliance challenges – minimizing risk, addressing critical priorities and meeting new demands as the industry evolves and the firm scales.
COMPLY Solutions
ComplianceGuardian
Policies and Procedures Management Create and review policies, upload supporting files, archive content, and flag discrepancies with ease. Disclosure Management Generate disclosures specific to each of your firm’s representatives and ensure your firm is exercising reasonable diligence, care, and skill in making recommendations. Monthly Compliance Solution Confidently stay in compliance with our monthly compliance solution.......
business needs
view solutionComplySci
Preclearance and Disclosures Establish a digital process around the submission of preclearance requests and disclosures with a full audit trail of associated communications and outcomes. Trade Monitoring and Testing Follow your employees’ trade activity to prevent and proactively identify the potential misuse of material non-public information (MNPI). Certifications and Attestations Easily build digital certification or......
business needs
view solutionIllumis
Political Contribution Compliance Real-time political contribution monitoring and intelligence to ensure pay-to-play compliance with SEC Rule 206(4)-5, MSRB Rule G-37, FINRA Rules 203 & 4580, CFTC Regulation 23.451, as well as state and local pay-to-play regulations. Public Records Search Real-time search, across thousands of public records datasets. Public Records Monitoring Search and monitor any public......
business needs
- Business Intelligence & Practice Management
- Compliance & Regulation
- Data Feeds & Information Sources
Itegria
Virtual Desktop The Virtual Desktop, powered by AWS, delivers a fully personalized and familiar desktop experience, with all the security and simplicity of centralized management for your firm. Wherever you are in the world, you can count on VDI to empower you with fast, compliant, and secure access to your desktop......
business needs
view solutionRIA in a Box
Compliance Program Management Establish and scale your compliance program. The comprehensive compliance program management technology provides critical functionality for day-to-day and strategic compliance activities, including registration tracking, compliance activity logging, and risk assessment. Private Fund Adviser Compliance Software and Services Access a customized version of the platform designed exclusively for private fund advisers.......
