"Rather than having to ask and follow up with all 33 registered representatives to review, complete and sign various documents, we love having everything on one platform. The process is seamless, whether it’s onboarding, certifications or annual reviews."
Bluerock Capital Markets, LLC Senior Compliance Officer Kamala Connors
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ComplySci – a partner as meticulously detail-oriented and driven as you.
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Data interoperability and APIs
Powerful integrations and APIs facilitate data connections between ComplySci and other HR, expense and order management platforms, such as Workday, Concur, Intapp's DealCloud and ZenLedger. Enhance capabilities with secure integrations to accommodate black box firm trading algorithms and additional data needs.
Direct broker feeds
Integrated direct broker feeds from more than 200 brokerage firms and a robust data normalization process provide unrivaled information accuracy and dependability.
Superior user experience
Our mobile-first approach ensures a frictionless experience for you and your employees, making compliance easy and painless.
Platform innovation
Incorporating direct feedback from our more than 7,000 clients, we continue to perfect our solution, implementing the enhancements that matter most to you.
Data services
Our Data Services team leverages a combination of optical character recognition (OCR) technology and human oversight to accurately and efficiently enter and update data on behalf of our clients.
Award-winning customer service
Let us be an extension of your back office, receive support when you need it most from our dedicated subject matter experts.
Looking for more? ComplySci and our fellow COMPLY firms are here to help you build a compliance solution specifically tailored for where your firm is today and where you plan to be tomorrow.
Learn more about ComplySci's compliance program management solutions and related Securities and Exchange Commission (SEC) and Financial Industry Regulatory Authority (FINRA) regulations.
What SEC and FINRA requirements can ComplySci’s compliance program solutions help my compliance team address?
ComplySci's program solutions can help your team meet the requirements of numerous SEC and FINRA rules, including:
SEC Rule 204A-1; IA Codes of Ethics The Code of Ethics Rule requires investment advisers to have a Code of Ethics which sets forth a written standard of business conduct their supervised persons are required to meet. Having the Code of Ethics includes providing procedures to implement the code’s policies. An investment advisers firm’s ethical standards should, at a minimum, reflect the firm’s fiduciary obligations and those of its supervised persons. There is no ceiling on an advisers’ Code of Ethics, however, any such code, must at a minimum establish, maintain and enforce a company-wide Code of Ethics which:
Include standards of business conduct which are expected of supervised persons and reflect the adviser's fiduciary duties.
Require supervised persons to comply with applicable federal securities laws.
Require certain supervised "access persons" to report their personal securities holdings and transactions to the investment adviser, including transactions in mutual funds advised by the adviser or an affiliate.
Require "access persons" to pre-clear with the investment adviser any personal investments in initial public offerings and limited offerings.
Require supervised persons to promptly report any violations of the adviser's code either to the firm's chief compliance officer (CCO) or to other designated persons provided the CCO also receives reports of all violations.
Require the adviser to provide each supervised person with a copy of the Code of Ethics and any amendments and require those supervised persons to acknowledge, in writing, their receipt of the code.
What type of customer support is provided?
COMPLY provides our customers with the service and support required to meet the exacting demands of the regulatory industry, while embodying the attention to detail you demand of yourself and your team. With 24/5 support and unparalleled in-house expertise, your program is our priority from the moment you being the onboarding process. That’s our promise to you.
You can contact our Customer Support team at complyscisupport@comply.com or by calling:
US - +1 646 787 9370
UK - +44 (0) 203 608 8320
HK - +852 2319 4213
How long does the onboarding process usually take?
COMPLY's onboarding team will be there with you every step of the way, working with you to create a plan which addresses your company’s unique needs. During onboarding the team will load data, configure the system to your use case and help set up integrations. The team will also provide guided instruction of broker feed outreach and assist with establishing broker feeds. Onboarding is concluded with supervisor training and assisting your organization go live on the platform.
Typical onboarding takes approximately 6-8 weeks. For larger clients onboarding is scoped to meet your company’s unique needs.
How can I schedule a demo?
Complete this form to schedule a full demo and see firsthand what our compliance solutions can do for you.
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Accuracy, dependability and efficiency, all in one platform. Manage your compliance program with ease. Manage your compliance program with ComplySci.