COMPLY Case Management Solution Showcase

From Violation to Resolution: How COMPLY Closes the Loop

From front running and undisclosed OBAs to late certifications, marketing rule breaches, and off-channel communications — every case tells a story. The real question is: can your firm prove how it responded? 

Join us for a 30-minute solution showcase and discover how COMPLY’s Case Management module transforms policy violations into structured cases with ownership, audit trails, and action plans — all mapped to regulatory expectations and can be seamlessly connected to your annual review.

What You’ll Learn: 

• How to capture, escalate, and resolve compliance violations with full transparency 

• What regulators expect in a complete case file — and how COMPLY automates the documentation 

• How case data feeds directly into your risk assessment, policy updates, and annual review 

SEC and FINRA are putting pressure on firms to detect, document, and close the loop on violations. With COMPLY, you’re not just reacting — you’re building a defensible compliance program that connects oversight to outcomes.