Company adds to industry-leading direct broker feed count and expands its robust employee trade monitoring offerings.

New York, Aug. 30, 2022 – ComplySci, the leading provider of regulatory technology and compliance for the financial services sector, announced today an exclusive partnership with Apex Clearing Corporation, a Peak 6 company. The exclusive agreement will provide ComplySci clients with direct broker connectivity to the Apex trading platform. The addition further adds to the company’s industry-leading number of direct feed offerings, as customers currently have access to more than 225 direct feeds from trading platforms.

“We are incredibly excited to have an exclusive partnership with Apex,” said ComplySci Chief Executive Officer Amy Kadomatsu. “This is just one more way in which we are working to ensure our customers never miss a thing by having access to the data they need most to lead a successful compliance program. Direct feeds allow firms to greatly decrease or even completely do away with the need for manual data entry, which reduces the risk associated with human error, non-reporting and other such challenges.”

As governing regulations and the call for transparency among firms continue to grow, direct feeds provide the most reliable, accurate and secure way for firms to collect and review employee trading information. These feeds send brokerage account data files directly to a compliance system through a secure connection, allowing compliance teams more control to track, detect and report on employee trading.

They also often, as with ComplySci’s platform, provide a central data storage and reporting location for additional aspects of a firm’s compliance program, such as other conflicts of interest and political contribution tracking and Code of Ethics violations.

“Our goal at the end of the day is to provide our customers with an all-encompassing, scalable compliance solution that can fit their needs now and grow with them in the future,” said Kadomatsu. “It’s one of the reasons we have chosen to invest more time and development upfront to set up direct feeds on behalf of our clients, rather than relying on a third party who may not view their data as mission critical. The burden continues to grow for firms to track, monitor and report on compliance-related regulations, which is why it is crucial compliance leaders be able to trust their data and its accuracy.”

About ComplySci
ComplySci believes advanced compliance technology empowers compliance professionals to transform their business. More than 7,000 customers, including some of the world’s largest financial institutions, rely on ComplySci’s scalable and sophisticated platform to stay ahead of risk and unlock the strategic potential of their compliance data. The company’s portfolio of firms includes ComplySci, RIA in a Box, illumis, a ComplySci company, NRS, a ComplySci company, and ITEGRIA®, a division of RIA in a Box.

Together, the portfolio of firms offers a full suite of governance, risk and compliance (GRC) consulting, technology, managed services, analytics and outsourcing solutions for the financial services industry. Its regulatory technology solutions help compliance organizations identify, monitor, manage and report on risk and conflicts of interest, including personal trading, gifts and entertainment, political contributions, outside business affiliations and other Code of Ethics violations. Learn more at complysci.com.

# # #

View original content to download multimedia.

Media Inquiries
Donald Cutler / Lorene Yue
Haven Tower Group
424-317-4850 / 424-317-4854
dcutler@haventower.com / lyue@haventower.com