Hello! In today’s regulatory environment, compliance teams are being asked to do the near impossible. Manage day-to-day compliance activity, while assessing the scope of impact from new rules and amendments. Ensure a culture of firm-wide compliance, while staying knowledgeable on the ever-changing risk points relevant to their firm and its business practices. And of course, maintain the ever-evolving compliance calendar with dexterity and precision. The good news? You don’t have to do it alone. COMPLY is dedicated to providing our clients with the critical resources to help you COMPLY with confidence.
Watch our new video to learn more about how COMPLY empowers firms to navigate the financial regulatory landscape with accuracy and precision.
The 2024 Annual Review Guide
While annual reviews have long been a standard within the industry thanks to Rule 206(4)-7, the amendment which passed mere months ago has placed new pressure on firms to adjust and adapt their processes to meet new demands. Download the 2024 Annual Review guide for insight into how your firm can conduct a comprehensive review and assessment of its program.
COMPLY Program Management is a new, all-in-one solution for firm compliance and annual reviews, fully integrated with your employee compliance solution in ComplySci. 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.
Elevate your compliance program management with an integrated solution designed by compliance experts for compliance professionals.
Take part in our virtual roundtable discussion featuring Debra Konieczny, IACCP®, who will give a 20-minute presentation called “Pulling It Together, Preparing for What’s Ahead.” This will be followed by 30 minutes of small group breakout sessions to share ideas and discuss topics that are important to women in compliance today.
Co-sponsored with the Investment Adviser Association and designed for compliance professionals, the Investment Adviser Certified Compliance Professional (IACCP®) and the Investment Adviser Core Compliance (IA Core) programs offer the foundational knowledge of the Advisers Act of 1940 and additional competence in trading, regulatory mandates, disclosures and other current regulatory priorities needed to ensure the ongoing success of a firm’s compliance program.
This year's conference brought together more than 250 compliance professionals from across the country, including expert speakers who shared insights on the regulatory compliance landscape and how firms like yours can prepare for 2024 and beyond. Attendees had the chance to connect with industry peers, expand their compliance education and earn CE credits throughout the conference.
Interested in attending COMPLYConnect 2024? Registration is open now! Book your seat by December 31 to take advantage of early bird pricing!
On October 16, 2023, the Securities and Exchange Commission (SEC) released its 2024 Exam Priorities, outlining critical focus areas for the coming year. With priorities covering individual firm types as well as cross industry risk, firms will need to analyze areas of focus which could potentially impact their compliance programs.
When it comes to personal account dealings or employee trades, having accurate data is one of the most essential elements to ensuring compliance. Download our new guide covering how financial advisory firms benefit from 300+ global direct broker feeds!
COMPLY Managed Services: Code of Ethics Administration
COMPLY’s industry experts are here to help you get the most out of your compliance program. With Code of Ethics Administration, our team streamlines the review process of initial, quarterly and annual reporting. Simplify your certification and attestation management, employee personal trade monitoring administration, list maintenance and reporting. Ready to start saving time typically spent on burdensome administrative tasks?
Mitigate cybersecurity risk before it becomes a reality
Safeguard your firm against cyber threats with comprehensive cybersecurity, vendor due diligence and virtual desktop solutions. Strengthen your security protocols, streamline compliance processes and evaluate third-party risks — all in alignment with the NIST cybersecurity framework. Fortify your systems, data and personnel against potential cyberattacks, and simplify due diligence through our vendor management solution.
Level-up your compliance program with cryptocurrency trade monitoring. Analyze employees’ cryptocurrency transactions to uncover abnormal trading patterns and potential market abuse.