Meet the compliance solution as detail oriented as you are.
A comprehensive compliance solution to match your complex regulatory burdens.
Details covered. Conflicts checked. Risk mitigated.
ComplySci’s comprehensive suite of solutions arms institutional firms with the collective capabilities of technology, managed services and education to effectively navigate regulatory complexities and ensure the precision and accuracy demanded by regulators.
Dependability is our middle name - and we have the stats to back it up.
Who we serve
Hedge funds
Private markets
Private equity
Investment advisers
Broker-dealers
Investment banks
Institutional investors
Insurance companies
UK markets
Don't take our word for it
“Moving to ComplySci has allowed us to do more complex surveillance. The customization is incredible. ComplySci is as customizable as you want it to be."
“It’s so easy to pull required items upon request from ComplySci, and I don’t have to worry about the possibility of human error, which is huge, especially knowing how distracted we can get working from home these days.”
Your technology partner and beyond
Move beyond reactive compliance tactics to achieve strategic regulatory goals with a single, comprehensive compliance partner who is as dedicated to the details as you are. ComplySci offers a market-leading host of technology solutions, data tracking and managed services to give you the tools, resources and expertise to take on today's toughest regulatory challenges and meet your firm's unique compliance needs.
Solutions
- Personal and firm trading
- Cryptocurrency
- Private investment
- Gifts and entertainment
- Conflicts of interest
- Outside business affiliation
- Managing material non-public information
- Marketing rule
- Insider trading
- Policies and procedures management
- Filings (Form ADV, PF, 13F, CRS, Blue Sky, etc.)
- Annual reviews
- Risk assessments
Compliance program management
- Reporting wall and audit trail
- Wall crossing
- Deal and activity logging
- Restricted list management
- Calendar hierarchy
- Certifications and attestation
- Compliance communications
- Mobile accessibility
Comprehensive capabilities
- Cybersecurity
- Vendor due diligence
- Virtual desktop
- State RIA registration
- SEC RIA registration
- RolloverAnalyzer
- IAR Continuing Education
Managed services
- System configuration and customization
- Processing rules and alert setups
- Report creation
- Data feed setups
- Change management
- Consulting