Run periodic compliance testing and comply with Pay-to-Play regulations

ComplySci Political Contribution Verification is a searchable database and compliance monitoring software. The platform was built to help compliance officers comply with Pay-to-Play regulations including:

  • SEC Rule 206 (4)-5
  • FINRA Rules 2030 & 4580
  • CFTC Regulation 23.451
  • MSRB Rule G-37

Regardless of whether your Code of Ethics permits employees to make political contributions, Compliance Officers have a responsibility to run periodic testing of political contributions. As a result, testing ensures that employees and their families are fully complying. Proactively address unexpected behavior to avoid the cost of non-compliance including fees and reputational damage.

Simply upload a list of individuals or search particular employees to view contributions made at the federal, state, and municipal levels.

Political Contribution Verification enables firms to easily:

  • Run testing against political contribution preclearance requests or your firm’s Code of Ethics policy
  • Generate and save reports of all contributions made by your employees, spouses, and dependents
  • Identify exceptions including instances where employees’ preclearance requests or disclosures do not fully match with actual contributions
Political Contributions Database & Compliance Software

Comprehensive Data

Search data spanning all 50 states, 8 U.S. territories, and D.C.

In order to account for differences in reporting timeframes across states and municipalities, our database incorporates a 3-year rolling lookback. As a result, the platform ensures that nothing slips through the cracks based on search timing.

Our political contributions database aggregates data across all 50 states including thousands of municipalities, D.C., and 8 U.S. territories.

Process Efficiency

Save time manually searching public databases

Eliminate the time-consuming tasks associated with manually visiting each state’s website and federal databases.

Automate lookups across states and municipalities to cross-check all contributions on record with your employee list.

Man looks at phone for political contribution testing

Complete Employee Coverage

Search contributions made by all employees in one simple bulk look-up

You no longer need to rely on random sampling to efficiently test your firm’s political contribution policies.

Simply run bulk searches of contributions made by all employees, spouses, and dependents to ensure full Pay-to-Play compliance.