Hello! This year has been one of unprecedented regulatory acitivity. And as we look towards 2024, one thing is clear: the pace of change is not slowing down. However, as an organization, we continue to evolve as well. Providing our audience with the tools, solutions and resources to navigate change and COMPLY with confidence.
See you in the New Year!
Regulatory-Driven M&A: Why New Rules Mean New Deals for Financial Firms
In 2022, PE deals with IA and Broker-Dealer involvement broke records, with $61.8 billion valued across 210 deals. That same year, firms contended with the compliance date of the SEC’s New Marketing Rule.
The takeaway: Heightened pressure from increased regulatory activity has culminated in shifting M&A strategies.
Download our new guide to uncover the data behind why new rules means new deals.
COMPLY Digital Asset Trade Monitoring is the first and only compliance software solution to automatically capture transactions and holdings from employees’ cryptocurrency accounts and monitor them for alignment with the firm’s policies and procedures.
ZenLedger brings their best-in-class ingestion engine to the ComplySci platform, providing real-time accuracy and comprehensive coverage across digital asset types.
Prepare for 2024 Regulatory Change with the Premier Industry-Recognized Education Program
As we wrap up 2023 and look forward to what is sure to be a year full of regulatory change, now is the time to invest in your critical compliance education. With the Investment Adviser Certified Compliance Professional (IACCP®) program, co-sponsored by COMPLY and the Investment Adviser Association, compliance professionals can benefit from an in-depth review of key regulations and rules at a time when new rules are creating additional compliance complexities.
Diving into Digital Assets: A Guide to the Evolving Landscape of Cryptocurrency and Digital Assets
The digital asset landscape is undoubtedly evolving.
And compliance officers? May likely find themselves at the forefront of the digital asset divide, trying to interpret guidance from regulators while balancing the needs of internal portfolio managers. Download our new guide for insight into digital asset categories and major compliance considerations.
Whether you’re a new RIA just starting out, or a large PE firm looking to reevaluate your annual review action items in light of recent rulemaking, this guide will provide the backbone for a comprehensive review and assessment of your program.
In 2023, the SEC finalized new rules for private fund advisers, aiming to provide further protection to investors. A big piece of the new requirement is that all investment advisers (including private fund advisers) will now need to annually document a review of their compliance policies and procedures in writing.
COMPLY Program Management is a new, all-in-one solution for firm compliance and annual reviews, fully integrated with your employee compliance solution in The ComplySci Platform. Streamline processes, simplify data management, and document your annual review while managing the full scope of your firm’s compliance program, all on one platform.
Capture what matters most to your compliance program
Monitor, verify and mitigate risk with our employee contribution monitoring solutions. Ensure all outside trading activities are accounted for and monitor OBAs, gifts and entertainment, MNPI and more.
Filing with Accuracy. Filing with Ease. Filing with COMPLY.
The regulatory filings process is burdensome, time-consuming and all around draining. Luckily, we can help. COMPLY’s Regulatory Filing Services provides firms like yours with premier coverage for all your filing needs!