Another knowledge-packed day in the books! We've wrapped up day 3 of the IACCP® Program Symposium. In this morning's sessions, we tackled best practices for navigating SEC examinations and what compliance with the IA marketing rule entails. During this afternoon's session, we covered best practices for safeguarding client assets. A special thanks to today's speakers: Sanjay Lamba (Associate General Counsel at the Investment Adviser Association), Michael Sherman (Partner at Fried, Frank, Harris, and Jacobson, LLP), David Porteous (Partner at Faegre Drinker), Peter Fetzer (Partner at Foley & Lardner LLP), and Veena Jain (Partner at Faegre, Drinker Biddle & Reath LLP). Day 3 of the IACCP® Program Symposium equipped attendees with the tools to #COMPLYwithConfidence. Stay tuned for updates on critical skills for high-performing compliance professionals, like ethical decision-making and more. #IACCP #ComplianceEducation #InvestmentAdviser #SECrules
About us
At COMPLY, we pride ourselves on being the champion for compliance professionals. Merging technology, consulting and education, we help clients navigate the ever-changing regulatory environment. Our deep bench of industry expertise – which includes expansive knowledge in technology enablement and regulatory compliance protocols and processes – supports more than 7,000 clients, including investment management firms, private equity firms, hedge funds, broker-dealers, registered investment advisers, and other financial service sector participants. Learn more at comply.com.
- Website
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https://www.comply.com/
External link for COMPLY
- Industry
- Financial Services
- Company size
- 201-500 employees
- Type
- Privately Held
Employees at COMPLY
Updates
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COMPLY reposted this
📣 📣📣Big news from COMPLY! With the introduction of AccountCompare, we are thrilled to announce the launch of COMPLY Fiduciary Suite. Powered by our partners at InvestorCOM Inc., this new offering brings to market a comprehensive solution to address fiduciary duty from account recommendations to products and rollovers, enabling Investment Advisers to adhere to the Duty of Care obligations under the Investment Advisers Act of 1940 and the Department of Labor’s Retirement Security Rule, and keeping Broker-Dealers in compliance with Regulation Best Interest. As COMPLY Chief Product Officer David Bliss put it, "The introduction of our comprehensive COMPLY Fiduciary Suite supports more holistic compliance functionality, allowing teams to capture and disclose the best interest rationale for investment recommendations across a range of account types. These disclosures educate and inform clients, protect the firm, and comply with regulatory requirements.” Learn more: https://lnkd.in/eb52tHKR #RegBI #InvestmentAdviser #COMPLYwithConfidence
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We've wrapped up day 2 of the IACCP® Program Symposium! In this morning's sessions, we tackled portfolio compliance and the role that compliance professionals play in ensuring investment advisers fulfill their fiduciary obligations. During this afternoon's session, we covered major SEC examination updates and explored how the SEC's new antifraud rule may affect operations at your firm. A special thanks to today's speakers: Tom Coonan (Compliance Consultant at COMPLY), Jeff Blumberg (Partner at Faegre Drinker Biddle & Reath, LLP), Matthew J. Fitzgerald (Chief Compliance Officer at PGIM Fixed Income), Jonathan Nowakowski (Associate at Morgan, Lewis & Bockius LLP), Louis Gracia (Associate Regional Director, Enforcement at U.S. Securities and Exchange Commission, Chicago Regional Office), Nickie Oathout, IACCP® (Compliance Consultant at COMPLY), and Deborah Eades (Shareholder at Vedder Price P. C.). Day 2 of the IACCP® Program Symposium equipped attendees with the tools to #COMPLYwithConfidence. Stay tuned for updates on trading practices, best execution, SEC exams, and more. #IACCP #ComplianceEducation #InvestmentAdviser #SECrules
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Big thanks to David Salm, Kyong Kim, Eric Przybisiki, Katie Miller, John Staugaitis, and Helen Johnson! Their time and donations helped box books for Darien Book Aid Plan Inc. These books will travel the world, fostering literacy and knowledge. #COMPLYcares #MakingADifference
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📣 📣📣Big news from COMPLY! With the introduction of AccountCompare, we are thrilled to announce the launch of COMPLY Fiduciary Suite. Powered by our partners at InvestorCOM Inc., this new offering brings to market a comprehensive solution to address fiduciary duty from account recommendations to products and rollovers, enabling Investment Advisers to adhere to the Duty of Care obligations under the Investment Advisers Act of 1940 and the Department of Labor’s Retirement Security Rule, and keeping Broker-Dealers in compliance with Regulation Best Interest. As COMPLY Chief Product Officer David Bliss put it, "The introduction of our comprehensive COMPLY Fiduciary Suite supports more holistic compliance functionality, allowing teams to capture and disclose the best interest rationale for investment recommendations across a range of account types. These disclosures educate and inform clients, protect the firm, and comply with regulatory requirements.” Learn more: https://lnkd.in/eb52tHKR #RegBI #InvestmentAdviser #COMPLYwithConfidence
With Addition of AccountCompare, COMPLY Delivers COMPLY Fiduciary Suite to Address Duty of Care, Reg BI, and DOL PTE 2020-02 Requirements
comply.com
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Day 1 of the IACCP® Program Symposium was a knowledge-packed success! We kicked off the afternoon with a deep dive into "Mandates Beyond the Advisers Act." We tackled AML, ERISA, and 34 Act Reporting – essential knowledge for any compliance professional. Next, we dove into the "Mandates Beyond the Advisers Act: Data Protection" session. From privacy, identity theft, to cybersecurity, this session covered the most critical topics in today's digital landscape. A special thanks to today's speakers: Sarah Buecher (Associate General Counsel with the Investment Adviser Association), Alex Ryan (Partner, Executive Compensation and Employee Benefit with Willkie Farr & Gallagher LLP), and Samuel Kuehn, CAMS, CRCP (Director, Financial Crimes Compliance with Morningstar), A. Valerie Mirko (Partner and Practice Leader with Armstrong Teasdale LLP), Christopher Arthur (Ascent Advisory Solutions). We finished the day strong with a warm welcome reception for all attendees, a fantastic way to connect with fellow compliance professionals. Day 2 (today) is jam-packed with sessions you won't want to miss. Stay tuned for updates on trading practices, best execution, SEC exams, and more. #IACCP #ComplianceEducation #InvestmentAdviser
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The SEC is cracking down on crypto and AML compliance. 📢📢📢 Don't let your firm be the next case study! This is a must-read for a deep dive into one of the SEC's most recent enforcement actions and how to avoid similar pitfalls. Read now and learn from others' mistakes #SECnews #CryptocurrencyCompliance #AMLcompliance Learn more: https://lnkd.in/eAvhGdCF
What Went Wrong: Firm and Former Leadership to Pay More Than $51 Million Combined for AML and Cryptocurrency Compliance Violations
comply.com
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Closing out the Mid-year #SalesKickoff with a bang! Today we heard from our Chief Executive Officer Michael J. Stanton about exciting investments for the future of our company. We also heard from our Chief Revenue Officer Jeff Hilk about embracing our winning culture and committing to an attitude of accountability. We're fired up by the progress we've made during the first half of the year, inspired by our growing company and energized by a loyal customer's story. President Club 2025, here we come -- let's bring on a record-breaking second-half of the year. #Teamwork #WinningSeason #Excited #OneCOMPLY
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The DOL Fiduciary Rule explained! Here’s a clear picture of what this rule means for financial advisers and how your firm can prepare to comply by Sept. 23. #DOLFiduciaryRule #RetirementRule #ComplianceNews Learn more: https://lnkd.in/eW6pqk_k
DOL Fiduciary Rule Mania: What's Happening and Where It's Headed | ThinkAdvisor
thinkadvisor.com
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Our new UK Compliance Consulting Services simplifies compliance with: ✅ Annual reviews ✅ Training ✅ FCA support ✅ and much more Our software and expert guidance empower you to #COMPLYwithConfidence. Learn more: https://lnkd.in/ev8Dxa23
Contact us - COMPLY
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