Recordkeeping failures have once again made headline news. And the penalties? Total over $49 million. To help our audience maintain recordkeeping standards, we're revisiting one of our most popular blogs, covering the ins and outs of the SEC Books and Records Rule. https://lnkd.in/eyWdKuAQ #SEC #COMPLYwithConfidence
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
-
https://www.comply.com/
External link for COMPLY
- Industry
- Financial Services
- Company size
- 201-500 employees
- Type
- Privately Held
Employees at COMPLY
Updates
-
COMPLY reposted this
Advisers serve a broad range of clients in 3 groups: individuals, pooled vehicles, and institutions. Over the past 6 years, growth in both the number of clients and assets under management have been strong in all 3 groups, but growth in the individual client group has been especially strong for both non-high net worth and high net worth clients. Read more: https://lnkd.in/eW48JzRS
-
"In addition to widely publicized rules such as those brought into force by the U.S. Securities and Exchange Commission in December 2023, many companies must also comply with other federal demands, rules from state regulators and industry-specific requirements... Organizations without hardy legal and compliance resources could miss reporting deadlines or fail to provide the detail needed for government authorities to assess security threats." https://lnkd.in/emW63ZmB #cybersecurity #cyber #SEC
-
Effectively tackle new rules and requirements. Create efficiencies within your firm's compliance processes. Assess potential gaps in your program before they turn into violations. And do it all with COMPLY by your side. Ready to achieve compliance with confidence? Let's talk. https://lnkd.in/eq693Dg5 #COMPLYwithConfidence
-
Mark your calendar and set your reminders because we're heading to D.C. for the CBC Summit 2024 on September 12. Need a reason to attend? Reason 1: COMPLY CEO Michael J. Stanton, CMO Wendy Werve, and SVP, Sales Trevor Vale will be there to network, connect, and discuss all things #crypto compliance. Reason 2: COMPLY CPO David Bliss is sharing his expert insights during the afternoon session Panel: Trends in Lawsuits and Enforcement Actions. Reason 3: Wrap up the day at the Happy Hour & Networking event, sponsored by COMPLY. Comment below if the team will see you in D.C. ⤵ https://www.cbcsummit.io/
-
We know that making the decision to join an organization comes down to more than just the job or the title. It’s the culture. The team. The benefits. And that’s exactly why we love COMPLY. We're hiring for: ✔ SVP, EMEA ✔Associate Compliance Consultant ✔Director GTM, Systems and Processes ✔Senior Director, Software Engineering ✔Senior Marketing Operations Manager Check out these jobs and more: https://lnkd.in/eUpmHikJ
-
Have you heard? Discounted pricing for COMPLYConnect 2024 ends tomorrow, August 31! RSVP for the premier compliance conference of the year...and save 💲💲💲 in the process. Run, don’t walk, to snag your spot today: https://lnkd.in/d67UCjHC
Oct. 22 - 24, 2024, Omni Barton Creek Resort & Spa Austin, TX
-
📢 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
Treasury Loosens Final Anti-Money-Laundering Rules for Investment Advisers, Real-Estate Agents
wsj.com
-
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