In this guide, we provide compliance professionals with a step-by-step process to help you navigate the buying process, including who should be on your procurement team, how to align technical and functional requirements and more. Download now. okt.to/OY29uW

A regtech solution like ComplySci, instills a confidence with the public and potential investors that the company has taken steps to meet strict regulatory requirements. Request a demo today. okt.to/UOrVeW #compliancesolutions

Without a robust compliance program, you risk regulatory actions including fines. ComplySci’s compliance software solutions are designed to help you meet oversight obligations, ensure agents’ activities comply and keep your customers safe. Request a demo. okt.to/tAXRGd

Whether it’s a holiday gift from a client or tickets to a game from a sales representative, your employees will be faced with receiving or giving gifts. Here’s a list of dos and don’ts for implementing your gifts and entertainment policy. okt.to/XR8tsI

While you’re likely aware of day-to-day compliance challenges, these bigger picture concerns have the ability to completely derail compliance within a firm. In this blog, we’ll speak to the top challenges for compliance teams, and how to address them. okt.to/uYRv9S

Keeping your #regulatorycompliance program accurate, effective and up to date with relevant regulatory requirements is challenging. Invest in a compliance technology partner as dedicated to perfecting the details as you. Learn more. okt.to/Jd8nkm

While our more than 200 direct broker feeds automatically integrate data into the ComplySci Platform for compliance verification, what about those brokerage statements which live on paper or in email? ComplySci data services has it covered. Learn more. okt.to/WYfZAT

ComplySci delivers the most exacting compliance software solution on the market for financial professionals. Together, COMPLY's portfolio of firms provide the technology, consulting and education solutions you need to mitigate risk. Learn more. okt.to/4TJnya

Cross your Ts and dot your Is with a compliance solution that’s as precise as you. Monitor, verify and mitigate employee trading risk with ComplySci's Compliance Program, designed specifically for those in the financial services sector. Learn more. okt.to/1XbOfn

We're #hiring! We're looking for a self-motivated Account Executive to join our team. You'll play a crucial role in helping RIAs, hedge funds and other financial firms solve their regulatory compliance, operations and technology challenges. Apply today! recruit.hirebridge.com/v3/goto/?c=ru9…

The SEC has proposed a new rule that would require broker-dealers to file some forms electronically. Under the proposed rule, BDs would be required to file Forms BD, BDW and ADV electronically through the SEC’s EDGAR system. Learn more from ThinkAdvisor. thinkadvisor.com/2023/03/22/sec…

These bigger-picture concerns could derail compliance within a financial advisory firm if not properly addressed. In this blog, we’ll speak to the top challenges for compliance teams in 2023, and how to address those concerns. Learn more. complysci.com/resources/blog…

In this whitepaper, we’ll break down what SM&CR entails, how it relates to the Consumer Duty ruling, detail other countries IARs and provide a look into the ComplySci solution which supports a firm’s ability to comply with all requirements. Download now. complysci.com/resources/whit…

In March of 2022, the #SEC proposed the “Enhancement and Standardization of Climate-Related Disclosures for Investors.” This proposal is often referred to as the “SEC’s proposed #ESG rule.” Learn how the amendment could affect your firm if it’s adopted. complysci.com/resources/blog…

To help your firm select the Code of Ethics or Center of Influence platform which best meets your holistic needs, we’ve compiled a list of common missteps firms may make during the buying process and a list of points to consider. Let’s get into it! complysci.com/resources/blog…

Keeping your #regulatorycompliance program accurate, effective and up to date with relevant regulatory requirements is challenging. Invest in a #compliancetechnology partner as dedicated to perfecting the details as you are. Contact us today. complysci.com/solutions/comp…

Understanding the difference between active compliance and apathetic compliance is the first step to improving your firm’s overall standing, creating a culture that benefits the firm for the next hundred years. Download our industry guide today. complysci.com/resources/indu…

The COMPLY team is excited to attend the Global RegTech Summit in London! Don't miss the opportunity to improve your knowledge on compliance issues faced by financial institutions as part of their ongoing digital transformation efforts. See you there! fintech.global/globalregtechs…

Tomorrow is our 30-minute webinar, How to Build Your Compliance Program to Scale, which will include a product demonstration of the ComplySci Platform. Register now before it is too late! complysci.com/resources/even…