Complex compliance demands comprehensive solutions and services. We deliver.
Automate processes. Navigate regulations. COMPLY with confidence.
We Empower CCOs to Achieve Strategic Goals.
COMPLY’s comprehensive suite of solutions arms you with the power to adapt in an ever-changing regulatory landscape. Precision, expertise, and accuracy converge to help you achieve new levels of regulatory dexterity.
Our consultative approach goes beyond “out of the box” quick fixes, to provide the configurable capabilities you need to manage risk and maintain COMPLYance.
Ready to navigate the regulatory compliance landscape? We’ll be right there with you.
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Leverage our team of registration compliance consultants to guide you through the entire process and work with you to create customized documents and business planning materials to set you up for success.
Over 4,000 firms have relied on our experts to help navigate (the often complex) registration process. Opening a broker-dealer? We've got you covered. Registering with the state or SEC? No problem.
Our team has the insight and the know-how to guide you through the process from start to finish. You focus on the business. We'll focus on the compliance.
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Advanced Automation: A Private Equity Firm’s Compliance Transformation
The firm needed to move away from manual processes and administrative tasks to allow the compliance team to optimize their compliance program and bring more strategic value to the firm. The compliance department needed a modern platform, which could provide efficiency and support to focus on bigger-scale strategies and goals.
COMPLY not only allowed the company to integrate their compliance processes, building a more robust process, but also moved the entire compliance team and firm away from the manual processes they had, until this point, been reliant upon.
Join us at COMPLYConnect 2024!
Get a front-row seat to the latest news and trends shaping compliance, risk, and governance. Register now for COMPLYConnect 2024, taking place Oct. 21 - 24 in beautiful Austin, Texas!
WITH CONFIDENCE.
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Regulatory-Driven M&A: Why New Rules Means New Deals for Financial Firms
Download COMPLY’s latest report, which assesses how the evolving regulatory landscape is impacting PE deals and M&A activity.