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.
It’s the cardinal rule for investment professionals: Do not use, share, disseminate or trade on the basis of material, non-public information. Even so, the SEC regularly charges brokers, advisors and other industry insiders with illegal insider trading. Of course,...
Anyone involved in the compliance function for a financial services firm knows they need to be mindful of, and watchful for, potential conflicts of interest – whether real or perceived. Likewise, for example, CCOs at firms subject to the DOL’s Fiduciary Rule know that...
The idea of establishing a “culture of compliance” in financial services firms isn’t a new idea; firm CCOs have heard regulators touting the standard for decades. However, a seemingly endless parade of firms continues to be cited for compliance violations that seem to...