Your Partner in Compliance

COMPLY provides institutional compliance technology solutions to empower firms to effectively navigate the regulatory landscape. From hedge fund to private equity, registered investment adviser to broker-dealer, our solutions are designed to meet your unique compliance challenges. 

Who We Serve

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Broker-Dealer

Whether you manage five, 500 or 5,000+ registered broker-dealer representatives, we know how burdensome manual processes can be, taking your team’s time, energy and focus away from other high-priority initiatives. Not anymore – say hello to automation with accuracy!
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Hedge Funds

Not only is your hedge fund’s compliance program responsible for complying with Securities and Exchange Commission (SEC) requirements under the Investment Advisers Act of 1940, but it is often the differentiator in attracting and retaining investors. Invest in a compliance solution as dedicated to your hedge fund as you are.
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Institutional Investors

Diligently mitigating all risks related to employee conflicts of interest and material non-public information (MNPI) is a monumental undertaking for even the most experienced compliance professional. The good news? You don’t have to do it alone.
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Insurance Companies

Your insurance company’s strong analytical skills and meticulousness has helped it earn your clients’ trust. Expertise has made you their go-to partner for all things insurance. Now it’s time to let us do the same for your compliance program!
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Investment Adviser

Whether you are a part of a large firm or a breakaway, a state- or SEC-registered adviser, your firm has an ever-growing number of regulatory requirements to meet and track. But you don't have to do it alone.
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Investment Banks

Your insurance company’s strong analytical skills and meticulousness has helped it earn your clients’ trust. Expertise has made you their go-to partner for all things insurance. Now it’s time to let us do the same for your compliance program!
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Private Equity

Your insurance company’s strong analytical skills and meticulousness has helped it earn your clients’ trust. Expertise has made you their go-to partner for all things insurance. Now it’s time to let us do the same for your compliance program!
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Private Markets

COMPLY provides you with a 360-degree view into employee trading and monitoring, gifts and entertainment, political contributions, outside business affiliations, marketing materials, initial public offerings (IPOs), private placements, and more.
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UK Markets

Your insurance company’s strong analytical skills and meticulousness has helped it earn your clients’ trust. Expertise has made you their go-to partner for all things insurance. Now it’s time to let us do the same for your compliance program!
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Product Support

We’re here to provide you with the service and support required to meet the exacting demands of the regulatory industry. With 24/5 support and unparalleled in-house expertise, your program is our priority. That’s our promise to you.