Introducing the ComplySci Platform

The ComplySci™ Platform is an innovative

risk management and compliance solution

used by over 800 institutions globally to proactively identify risks and manage complex regulatory and compliance challenges.

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What Sets Us Apart from Other Compliance Solutions?

The Risk Data Engine™: The Key to Compliance Program Effectiveness

Our proprietary Risk Data Engine™ sets the standard for Strategic Compliance Management by aggregating, enriching and normalizing vast quantities of data across a broad spectrum of sources. It creates a single, highly accurate and coherent repository of all the information needed to proactively manage complex regulatory and compliance challenges.

Data Integrity

Our proprietary data management methodology and processes combined with our comprehensive and sophisticated Securities Master ensures the integrity of every data element that enters our risk repository.

Real-time Forensics

Rich analytics provide insights into patterns, trends and exceptions resulting from employee activities. Early detection of anomalies and potential rule violations empowers compliance professionals to proactively mitigate risk.

Dynamic Risk Surveillance

The ComplySci Platform analyzes an individual’s critical behaviors and parameters to dynamically modify compliance management workflows based on each employee’s risk profile.

Industries Served by ComplySci

  • Investment Banking
  • Insurance
  • Private Equity
  • Hedge Funds
  • Pension Funds
  • Investment Managers
  • Registered Investment Advisors
  • Brokerage
  • Public Corporations
  • Professional Services

Our Clients Include Leading Global Financial Institutions

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What Our Clients Say About ComplySci

“I’ve been a long-time client at two different firms. ComplySci provides an excellent solution that adds value for registered investor compliance programs. I recommend them regularly to compliance colleagues.”

Chief Compliance Officer

Top Ten Private Equity Firm, Boston

“Reviewing paper statements for personal trading monitoring used to be very labor intensive, but now with ComplySci we have saved more than 80% of that time to focus on more important compliance programs.”

Chief Compliance Officer

Money Management Advisory Firm, Atlanta

“Working with ComplySci has been transformational in the way we administer our compliance program. We have reduced the time we were dedicating to a manual review of brokerage statements by an order of magnitude.”

CFO/CCO

Venture Capital Firm, Silicon Valley

“The ComplySci platform offered exactly what we needed and I appreciated that the application could be tailored to fit our business needs.  It was important that whatever was implemented was considered an industry best practice.”

Chief Compliance Officer

Money Management Advisory Firm, LONDON, UK

Actionable Risk Management Advice

Data Quality: Overcoming the Biggest Hurdle for
Compliance and Risk Management

What You Need to Know About
Market Abuse Regulation

Industry Recognition

Events

Private Equity Meets Compliance: A Toolkit for Success

This webinar occurs on December 1, 2016 @ 11:00am PT / 2:00pm ET / 7:00pm GMT Join ComplySci and FrontLine Compliance for a webinar on issues at top of mind for Private Equity firms of all sizes and complexities. As SEC registered PE firms continue to comprehend and...

Digiterre Communica Regulatory Compliance Breakfast Forum

Digiterre Communica are excited to announce the first of our guest speakers for our Regulatory Compliance Breakfast Forum. Keynote speaker, Ronald Gould from Compliance Science. Date: Wednesday 20th April Venue: Millennium Hotel, London Mayfair, Grosvenor Square,...

News

MAR’s New Level of Regulatory Expectations [Compliance Monitor]

ComplySci Europe's Chairman, Ronald Gould, was featured in Compliance Monitor on September 7, 2016, discussing the impacts of Brexit on the Market Abuse Regulation (MAR), released 3 July 2016. Ronald also provides a deeper dive into what the MAR is, who and what it...

Blog

Reasonable Steps

Commentary by Ronald Gould, European Chairman, ComplySci, Ltd.   Lets go on a bit of time travel – it’s June 2018 and the UK Senior Managers Regime now applies to all financial sector firms, large and small – that’s over 35,000 by the way.  Many thousands of...

FCA Tackles Insider Trading Head On

Over the last year, the FCA has been handing out fines at an unprecedented rate in an attempt to clamp down on insider trading. In May 2016, following an eight year investigation costing £14 million (one the FCA’s longest running and most complex insider trading cases...

My Top 3 Takeaways – NSCP National Conference 2016

Commentary by Scott Seibel, Vice President, ComplySci If you missed this year’s NSCP Annual Conference in Washington, D.C., it can be summed up with one key word – technology. In fact, technology has become such a key component to the compliance industry that the...

The Supreme Court Takes on Insider Trading

The United States government is taking another pass at defining what exactly constitutes insider trading – and nearing resolution on one aspect of this challenge at the highest of legal authorities, the Supreme Court. What began in 2014 with the highly publicized...

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