What’s new at ComplySci: A recap of 2022

The end of a year is always a time for reflection, and as we wrap 2022 it’s no different. ComplySci, as part of the COMPLY portfolio has had a powerhouse of a year, with new products, new partnerships and new teams coming together all in the name of compliance.

As we look forward to 2023 and beyond, we would be remiss if we didn’t highlight some of the biggest takeaways from this year.

1.ComplySci, RIA in a Box, NRS and illumis come together under COMPLY

While 2021 may have been a year of acquisition a growth, 2022 was a year where our teams came together to form COMPLY. The new parent brand officially united ComplySci, RIA in a Box, NRS and illumis under one entity, bringing together market leaders to create one of the most holistic regulatory compliance solutions and resources available for investment advisers, broker-dealers, hedge funds, private equity firms and more.

“By officially joining our teams under a single banner and unifying our leadership team, we have affirmed our focus on being the champion for compliance professionals across the financial services industry. Even as each business continues to operate under its well-respected brand, our customers and our organization will see tremendous benefits as we unlock the full power of the combined knowledge and expertise within each of our companies.” – COMPLY Chief Executive Officer Amy Kadomatsu

2. Founding sponsor of ComplyConnect 2022

The ComplyConnect Conference & Expo, held Nov. 8 – 10, brought together leading experts in the industry to provide their perspective on the challenges and complexities of compliance in 2022. With speakers touching on the Marketing Rule, cybersecurity and a review of the news and alerts coming out of D.C., attendees gained critical insight into how they should approach compliance in 2023 and beyond.

In addition to the educational sessions and roundtable conversations, the conference also boasted the first ever ComplyConnect awards, honoring individuals and firms who have significantly contributed to the compliance industry this past year.

3. New products and enhancements

As part of the COMPLY portfolio, the ComplySci customer base now has access to a host of regulatory compliance resources including technology, consulting and education solutions. On top of that, the ComplySci product team has been hard at work, adding new features and enhancements to the ComplySci Platform, including:

  • Undisclosed Account Alerts.
  • Mobile app.
  • Black Box firm trade API.
  • Enhancements to Control Room.
  • Enhancements to SM&CR add-on.
  • Reporting redesign.  

4. Awards honoring our accomplishments as an organization

The hard work and dedication of our team is all in the name of our customers, providing the kind of resources and partnership which small and large financial firms can rely upon to help achieve strategic compliance goals. However, it is always nice to be honored by the industry and this past year, we took home the prize in multiple award categories:

5. Building a team which is better together

This year has truly been one built on the mentality of coming together to form a better, stronger team. With best practices from each of our individual brands, the COMPLY team has developed as one which works smarter and harder for our customers.

What a year! The accomplishments have been many, but they wouldn’t be possible without our loyal customer base and for that, we thank you! See you in 2023!