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.
Dynamic Risk Surveillance
Industries Served by ComplySci
- Investment Banking
- Private Equity
- Hedge Funds
- Pension Funds
- Investment Managers
- Registered Investment Advisors
- Public Corporations
- Professional Services
Our Clients Include Leading Global Financial Institutions
What Our Clients Say About ComplySci
Actionable Risk Management Advice
European Chairman of ComplySci, Ronald Gould, was featured in FX-MM, discussing how RegTech is poised to takeover. Why? RegTech is easy to deploy, cost efficient, improves compliance team efficacy and creates incredible efficiencies.
RegTech is a term that has exploded into the asset management industry vernacular since the 2008 financial crisis. The term describes technological solutions designed to facilitate compliance with regulatory initiatives implemented in response to the crisis.
ComplySci proudly serves over 800 financial institutions spanning 52 countries around the globe including 3 of the top 5 hedge funds and 8 of the top 10 private equity firms. Our clients represent compliance excellence with thought leaders, experts, and industry leaders among their ranks.
Evaluating the SEC Regulatory Agenda Announcement: What Will It Mean for Federally-Registered Advisers?
SEC Chairman Jay Clayton recently provided an overview of the guiding principles that he feels should serve as the backdrop for everything the agency does. That list of principles included a focus on ensuring small investors are protected while at the same time...
Any time a regulator offers firms some insight into the inner workings of the regulatory machine, compliance officers should pay attention. In a July 12, 2017 speech, newly-appointed SEC Chairman Jay Clayton outlined his vision, introducing eight principles he...
If you are a CCO of a registered investment adviser, ensuring your firm is meeting its regulatory filing deadlines for ADV updates is important; ensuring those filings are accurate and complete is critical. Similarly, CCOs must also ensure processes are in place to...