Our Clients Lead the Market in Compliance Excellence

In 2007, we launched our flagship product platform, the Personal Trading Control Center™ with a clear vision: empower regulatory compliance leaders with the tools to safeguard against insider trading and employee misconduct. The market response has been very gratifying:

  • Over 800 clients
  • 8 of the top 10 Private Equity Firms
  • 3 of the top 5 Hedge Funds
  • 2 of the top 10 Fortune 100
  • 3 of the top 4 Accounting firms
  • 52 Countries with Clients Operating ComplySci
  • 97% client renewal rate

True partnerships with our clients. Here is what some of them have to say:

“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

Private Equity Firm, Boston

“I had previously worked at a partner and was familiar with ComplySci’s product. I didn’t consider any other firms. From my experience with the NYSE and discussions with others, I knew that ComplySci’s product was highly regarded with regulators.” Chief Compliance Officer

International Bank, New York

“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

“I was familiar with ComplySci having worked at a partner. I surveyed peers and ComplySci was well regarded. Reputation was important to me.” Compliance Associate

Hedge Fund, 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

“ComplySci provides all the capabilities we need to automate our compliance program and their customer support is extremely helpful and responsive.” Managing Director

Private Equity Firm, Chicago

“I am very impressed with ComplySci and the technology is outstanding.” Chief Compliance Officer

Broker-Dealer, Denver

“Their solution is ideal for pre-clearance, reporting and monitoring of our employees’ personal trading activity and other code of ethics obligations. The system’s flexibility also allows us to use the application for reporting and certifications outside of our code of ethics requirements. The ComplySci team is knowledgeable, professional, and highly responsive. I would strongly recommend them to others in the industry.” Chief Compliance Officer

CCO Investment Advisory/Broker Dealer Firm

“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.” Compliance Supervisor

Investment Bank, Chicago

”From my experience with the NYSE and discussions with others, I knew that the ComplySci platform was highly regarded with regulators. Reputation is important to us.” Compliance Officer

Top 30 Financial Services Firm, New York

Industries Served by Complysci

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