📢 Industry Alert 📢 "The Treasury Department moved to complete regulations that extend anti-money-laundering measures to certain investment advisers and real-estate professionals, but said it was loosening the requirements after feedback from the two industries. The rules, published in final form on Wednesday, seek to address what the Biden administration and others have characterized as critical gaps in the U.S. financial system’s safeguards through which criminals and other nefarious actors can move illicit money." Read more: https://lnkd.in/exTrBf6h #AML #InvestmentAdvisers
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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How do you measure success? More specifically, how do you (and your board or executive team) know what’s working, what isn’t, and how your program stacks up compared to industry benchmarks? Read our recent blog to uncover how you can accurately and quantitatively assess your compliance program using KPIs like: ✔Compliance training completion rates ✔ Number of compliance incidents ✔ Employee feedback Read more: https://lnkd.in/eYc8ft5F
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COMPLY reposted this
⏰ The clock is ticking! ⏰ Save your spot for COMPLYConnect 2024 and save $$$. How? Simply RSVP by August 31. Join us in Austin, TX, and take part in the premier compliance conference of the year. With a jampacked agenda covering topics like Interpreting Potential Future Directions of Private Fund Compliance and Expanding Your Business into the UK - Compliance Considerations, you won't want to miss a single minute. RSVP today: https://lnkd.in/d67UCjHC #COMPLYConnect
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Got questions on the Fiduciary Rule? You aren't alone. "With consecutive court rulings putting a hold on the Department of Labor’s Retirement Security Rule, wealth industry professionals find themselves facing yet another period of regulatory uncertainty." Check out this recent article from ThinkAdvisor to learn more about the status of the Fiduciary Rule and the implications for firms like yours. https://lnkd.in/gJcs-R64
What Advisors Need to Know About the Fiduciary Rule | ThinkAdvisor
thinkadvisor.com
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We are #hiring! We are looking for a polished and accomplished Compliance Consultant to join our growing team. This role will be responsible for drafting disclosure documents and conducting compliance reviews of investment adviser firms. If you're detail-oriented and passionate about delivering high-quality, innovative, and unique solutions to overcome complex challenges, we want to hear from you! #HiringNow #ComplianceConsultant #ComplianceJobs Apply now: https://lnkd.in/eEuwJSMa
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Are you crypto confused? 🥴 Then #COMPLYConnect2024 is for you! Check out the session below and RSVP now: https://lnkd.in/dvMQqmPm
Crack the code on cryptocurrency compliance at #COMPLYConnect2024! 🔍 With cryptocurrency and other digital assets rising in popularity and regulations rolling out accordingly, you cannot afford to be behind. This breakout session is your roadmap to cryptocurrency compliance. Don't miss out. #ComplianceEducation #ComplianceConference #CryptoCompliance RSVP now: https://lnkd.in/dvMQqmPm
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Did you know? Assets managed by SEC-registered investment advisers rose by 12.6% last year. Swipe for a sneak peek into how the industry is changing 👀. #IAdviserIndustrySnapshot2024 #AssetManagement #InvestorTrust Download the 2024 Investment Adviser Industry Snapshot today for more insights and learn how your firm can adapt: https://lnkd.in/eZ-VaZiV
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Guess what? You're invited! ✉️ #COMPLYConnect2024 is coming soon, and it’s going to be huge. RSVP now: https://lnkd.in/dvMQqmPm
You're invited to "the" compliance conference of the year! 🎇 Sharpen your compliance skills, network with colleagues, and earn IACCP® credits all at once at #COMPLYConnect2024. And if you register by August 31st, you'll lock in the lower rate of $1,895. You don't want to miss out on this special pricing and this must-attend event. #ComplianceConference #ComplianceEducation #RSVPnow RSVP now: https://lnkd.in/dvMQqmPm
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Feeling the FCA's crypto compliance crunch? Many firms are. While the FCA acknowledges the challenges of adapting to the regulatory landscape, the FCA's recent review of crypto firms found significant compliance gaps among crypto firms. Don't miss out on this must-read to help your firm #COMPLYwithConfidence. #FCAnews Learn more: https://lnkd.in/ey6H5EWg
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The SEC’s latest enforcement action could be a game-changer for investment advisers!🚨 The enforcement actions against this firm mark a significant shift, as it’s the first time the SEC has brought an enforcement action based on off-channel communications discovered during a routine examination. With penalties piling up and scrutiny intensifying, this case might signal the beginning of tighter enforcement across the industry. Don’t miss out on the details that could impact your compliance program. #ComplianceNews #SECnews Learn more: https://lnkd.in/gE8iN2zK
SEC’s landmark recordkeeping action could ‘embolden examiners’ - InvestmentNews
https://www.investmentnews.com