Software and service enable RIAs of all types Implement and manage a comprehensive compliance program with an all-in-one solution

NEW YORK, November 15, 2023 /PRNewswire/ — COMPLY, the global leader in compliance software, advisory and education resources for the financial services industry, has launched COMPLY Program Management and Annual Review Service, an integrated solution that addresses the market’s need for more comprehensive compliance resources, allowing companies to meet additional regulatory requirements and requirements.

Given the rapid pace of regulation in today’s landscape, compliance professionals are increasingly turning to full-service compliance technology partnerships to support growing program needs. As our own research shows, 44% of compliance professionals indicate that such a full-service offering is a key driver in their choice of outsourced compliance solutions.

COMPLY Program Management simplifies and automates many compliance tasks and outcomes, reducing risk, improving efficiency and easing year-end compliance obligations. The integrated solution provides a centralized, comprehensive platform for managing the full scope of a company’s compliance program. This software package includes:

  • The Compliance Calendar is automatically populated and continuously updated with deadlines, requirements, best practice instructions and updated compliance guidelines, aligned with company policies and procedures.
  • COMPLY’s Annual Review Tool that guides companies through their annual review process, culminating in a comprehensively documented report, to comply with the Securities and Exchange Commission (SEC) requirements set forth in Rule 206(4)-7 under the Investment Advisers Act of 1940.
  • In addition, for companies seeking further assistance in complying with the latest regulations, COMPLY has introduced a companion service offering with the COMPLY Program Management software that provides regulated and ongoing compliance advisory services aimed at easing the challenges of the annual review process and defining of compliance priorities throughout the year.

David Bliss, Chief Product Officer of COMPLY, said: “These advancements in our software and services deliver on the promise of offering a unified COMPLY solution. With COMPLY Program Management and Annual Review Service, we combine the benefits of the wide range of solutions available from across our product portfolio, integrating software, consulting and training, and increasing our customers’ ability to develop and execute a comprehensive and scalable compliance program from a single platform. As regulatory obligations continue Evolving, such as the recently enhanced regulations for private fund advisors and investment advisors, the ability to easily customize your compliance program has never been more crucial. This is an ideal time for firms to examine their compliance processes and consider to move to one comprehensive platform.”

Additional information about COMPLY Program Management and the Annual Review Service is available here.


As the global leader in compliance solutions, COMPLY combines the power of regulatory technology, services and education to enable Chief Compliance Officers (CCOs) and compliance professionals to easily navigate the regulatory landscape. COMPLY enables companies to scale their growth while remaining vigilant in their compliance efforts, providing solutions designed to manage the burden of complex compliance tasks. Our deep industry expertise – including extensive technology and regulatory compliance knowledge, protocols and processes from our ComplySci, RIA in a Box and NRS product portfolio – supports more than 7,000 clients including investment management, private equity firms and hedge funds , broker-dealers, registered investment advisors and other participants in the financial services industry.

COMPLY continuously supports clients in their work to proactively address key compliance challenges – minimizing risk, addressing critical priorities and meeting new demands as the industry evolves and the business scales.


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