Latest Release of COMPLY Program Management Supports End-to-End Strategy and Oversight Across the Regulatory Compliance Lifecycle

New capabilities connect compliance policies, risk, and execution in one platform, with embedded regulatory intelligence; and expanded broker-dealer solutions

/EIN News/ -- NEW YORK, April 30, 2025 (GLOBE NEWSWIRE) -- COMPLY, the leader in regulatory technology, software, and services for the financial services industry, today announced significant enhancements to its COMPLY Program Management solution, which now includes a powerful Intelligent Policy Builder and expanded capabilities for broker-dealers.

As regulators demand more evidence that compliance programs are not only documented but enforced, financial services firms are under pressure to modernize how they manage their compliance strategy and operations. Each step of the compliance process – from identifying risks, responding to regulatory changes, updating policies, issuing certifications, testing effectiveness, and reporting across stakeholders – impacts the next. Yet, most firms still rely on fragmented systems to manage these functions.

COMPLY Program Management connects firm compliance strategies with the day-to-day operations of managing employee compliance. With COMPLY Program Management, financial services firms can manage risk assessments, policy creation, calendar management, annual reviews, and vendor due diligence, alongside employee trade monitoring, political contributions, outside business activities (OBAs), gifts and entertainment, digital assets, material non-public information, and violation management, all in one, integrated solution.

“Compliance doesn't exist in silos, and the technology that supports it shouldn’t either,” said Michael Stanton, CEO of COMPLY. “COMPLY Program Management connects strategy to execution, giving firms the tools, data, and regulatory expertise to adapt in real-time. When regulations shift or new risks emerge, CCOs can move quickly, enforce change, and stay aligned, all from a single source of truth. With this latest release, we’re helping firms not just keep up, but lead, building stronger compliance cultures and staying ahead as the landscape continues to evolve.”

COMPLY Program Management now includes:

• Risk Assessments for Broker-Dealers, RIAs, and Private Funds – Allowing CCOs to score, track, and document your firm’s compliance risk and mitigation strategies under SEC and FINRA frameworks
• Intelligent Policy Builder – A guided tool that helps you create, edit, and manage your firm’s compliance manuals, including Policies and Procedures, Code of Ethics, Written Supervisory Procedures (WSPs) and AML for Broker-Dealers, and AML for RIAs and ERAs.
• Compliance Calendar – Comes pre-populated with tasks aligned to firm-specific requirements and events and updated in real-time by COMPLY’s regulatory experts as rules are created or changed
• Annual Review Tool – Designed to support ongoing testing and documentation aligned with Rule 206(4)-7 of the Advisers Act, this tool enables you to simultaneously execute, document, and analyze compliance activities throughout the year. It aggregates evidence, tracks testing, and generates your annual review report
• Vendor Due Diligence – Centralize oversight of service providers with workflows for documentation, risk scoring, and ongoing monitoring.
  

“COMPLY Program Management is built for the reality chief compliance officers face every day,” said David Bliss, Chief Product Officer at COMPLY. “When regulations shift or new risks surface, CCOs need the structure to act, the intelligence to adapt, and the tools to follow through – quickly, efficiently, and with confidence. This expansion helps firms manage that full lifecycle while meeting the complex needs of broker-dealers, RIAs, private funds, and dual registrants.”

COMPLY Program Management is directly integrated with COMPLY’s employee compliance solutions – providing full visibility and operational alignment across the compliance ecosystem. This release builds on COMPLY’s 2025 Innovation Roadmap, focused on advancing its OneCOMPLY™ vision to deliver a 360-degree view of an organization’s regulatory compliance processes while reinforcing its commitment to helping clients future-proof their compliance programs.

The intelligent policy builder and new broker-dealer solutions are available to all COMPLY Program Management clients. To learn more, join us for a Solution Showcase, “Next-Gen Capabilities Coming to COMPLY Program Management,” on April 30, 2025, at 11:00 AM EST or visit www.comply.com/comply-program-management.

About COMPLY

COMPLY empowers financial services firms to build strong, proactive compliance cultures that go beyond regulatory checklists — helping them reduce fines, protect their reputations, retain top talent, and drive business growth. As the leading provider of regulatory compliance technology and consulting expertise, COMPLY supports 5,600+ clients, including investment banks, private equity firms, hedge funds, broker-dealers, and RIAs.

By delivering a 360-degree view of compliance across both firm and employee obligations and expert consulting — all from one partner, COMPLY empowers Chief Compliance Officers (CCOs) and their teams with the tools and insights they need to manage risk holistically. With cutting-edge technology, expert advisory services, and a future-ready compliance platform, COMPLY enables firms to navigate complex regulations with confidence while maintaining long-term resilience, operational excellence, and sustainable growth.

Learn more at www.comply.com.

Contact:

Wendy Werve

pr@comply.com