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. With private fund platform, you have a centralized location for all private fund information, Form ADV, Form PF, Form D, and Blue Sky filings.   

Communications Archiving and Review
Confidently meet the archiving requirements set by Securities and Exchange Commission (SEC) Rule 204-2 and prepare for regulatory examinations with organized and easily retrievable data. 

Employee Trade Monitoring
Never get caught off guard when it comes to the Securities and Exchange Commission’s (SEC) Code of Ethics. Our employee trade monitoring solution allows you to create easy-to-use employee pre-clearance processes, streamline workflows and approvals, and provides actionable insight with customizable reports.   

IAR Continuing Education
In 2020, NASAA implemented an IAR continuing education requirement to ensure its members receive proper and updated training on the securities business relevant to their duties and obligations. Leverage COMPLY’s integrated solution via The RIA in a Box Platform, to complete your IAR requirements with ease! 

Cybersecurity
Construct and implement a customized cybersecurity compliance program within a single solution. 

Vendor Due Diligence
Proper vendor management and due diligence is critical to every firm’s compliance program. Take advantage of everything third-party vendors have to offer without increasing your risk.

RolloverAnalyzer
Assess, document, and disclose rollover recommendations and meet compliance requirements in a single process. 

Rollover Dashboard
Simplify best interest rollover recommendations and compliance obligations with Rollover Dashboard an intuitive application with streamlined workflows for analysis, documentation, and disclosure. 

PeerCompare
Demonstrate you are acting in the best interest of retail clients with an automated solution designed to compare a product group of reasonably available alternatives.