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 attestation forms and events, shifting your focus from chasing employees to strategic initiatives.

COMPLY Program Management
Whether you’re a private fund, RIA, or any other type of financial institution, you need a solution to manage the full scope of your firm’s compliance program. COMPLY Program Management, the leading centralized, comprehensive platform, enables just that.

Compliance Reporting and Analytics
Run compliance reporting with ease for internal audits, management meetings, and examinations.

Control Room
Leverage an integrated solution that tracks firm activities alongside employee activities to proactively identify potential conflicts of interest and market abuse.

SMCR Module
Effectively comply with the FCA’s senior managers and certification regime.

Data Services
Your compliance program – backed by data, powered by ComplySci. With more than 15 years of experience, we are your go-to for all things compliance and data management, with a host of premium and professional services to assist with entering, updating, and managing data within the ComplySci platform.