INVEST IN A UNIFIED COMPLIANCE SOLUTION FOR PRIVATE FUNDS

You CAN BANK ON US

Private funds have the ability to move markets – you know this and so does the watchful eye of the SEC. Intentional or not, one trade, one political contribution, one conflict of interest, or one whisper of material nonpublic information can land your firm in hot water.  

We know private funds like yours strive for agility and scalability with your investments. Why not extend that to your compliance technology? 

With advanced firm technology, consulting services, education, and support to match, COMPLY offers a unified compliance platform that brings firm, employee, and third-party compliance together in a modern, easy-to-use interface. COMPLY’s private fund solution enable you to:  

• Ensure wall crossing and MNPI is documented, all conflicts of interest are tracked, and the right people are assigned to the right accounts  

• Establish your policies and procedures, compliance calendar, compliance program management, code of ethics, control room, and automatically enforce those standards across all stakeholders 

• Connect to 300+ broker feeds, manage restricted lists, and create highly configurable workflows based on trade rules you define  

• Easily track trades, political contributions, gifts and entertainment, outside business activities, and digital assets – and automatically flag violations or suspicious activities  

• Document, manage, and report on your individual side letter obligations  

Are you ready to consolidate employee, firm and third-party compliance to one vendor with a unified platform – featuring an open architecture and a broad range of private fund capabilities?  

Speak to an expert now and request a demo.