Comply for RIA
by Comply · Regulatory reporting and risk · New York, United States
Compliance program software for RIAs (formerly RIA in a Box)
What Comply for RIA does
- Generate reports with a full audit trail of activities for stakeholders and regulators
- Draft essential documents like your Code of Ethics and Policies and Procedures
- Step-by-step evaluation of key risk areas like cybersecurity, vendor risk, frequent traders, and more
- Export reports for audits, board reviews, or internal analysis
- Assign risk ratings on a scale; link them to existing or updated policies
- Manage certifications, attestations, OBAs, and personal trading
- Review and reconcile trades against policies, restricted lists, blackout periods, and client transactions
- Third-party vendor due diligence
- Technology inventory and risk assessment
Who Comply for RIA is for
- Wealth and investment managers
About Comply
Compliance software and consulting for investment advisers, private funds and broker-dealers.
Comply in the vendor registry: its products, features and similar vendors.
Also by Comply
- Comply Platform: Employee compliance: trade monitoring, code of ethics, conflicts (formerly ComplySci)
- ComplianceGuardian: Compliance management for advisers (formerly NRS)
- illumis: Political contribution monitoring for pay-to-play rules
- ComplyAI: Agentic AI tools for compliance tasks
More in this category: Regulatory reporting and risk management software.
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