Audience
Financial services firms—including RIAs, broker-dealers, private funds, and investment banks—seeking a scalable, technology-driven compliance management solution with integrated expert support
About COMPLY
COMPLY is a modern compliance management platform built specifically for financial services firms. It centralizes regulatory requirements, automates manual workflows, and helps firms stay ahead of evolving regulations. By uniting data, solutions, services, and education, COMPLY empowers compliance teams to scale operations efficiently while reducing regulatory risk. The platform supports a range of functions—from regulatory filings and policy reviews to managed services—acting as an extension of your team. Designed for private funds, broker-dealers, wealth managers, investment banks, and more, COMPLY ensures firms operate in the best interest of investors and clients. With its easy-to-use interface and expert support, COMPLY delivers confidence, clarity, and control over compliance programs.
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Integrations
No integrations listed.
Company Information
COMPLY
United States
www.comply.com
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Product Details
Platforms Supported
Cloud
Training
Documentation
Live Online
Webinars
In Person
Support
Phone Support
COMPLY Product Features
Compliance
Archiving & Retention
Supported
Audit Management
Supported
Compliance Tracking
Supported
FDA Compliance
Supported
Risk Management
Supported
Artificial Intelligence (AI)
Not Supported
Controls Testing
Not Supported
Environmental Compliance
Not Supported
HIPAA Compliance
Not Supported
ISO Compliance
Not Supported
Incident Management
Not Supported
OSHA Compliance
Not Supported
Sarbanes-Oxley Compliance
Not Supported
Surveys & Feedback
Not Supported
Version Control
Not Supported
Workflow / Process Automation
Not Supported
