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Comply Platform
from Comply (formerly ComplySci)
Comprehensive compliance management platform for employee trade monitoring, MNPI, code of ethics management, compliance certifications, personal trading surveillance, gifts and entertainment tracking, outside business activities monitoring, and control room functionality for identifying conflicts of interest.
Category:
Electronic Communications Surveillance
in:
Compliance
Tools that monitor email, chat, and voice communications for potential compliance violations or inappropriate content.
Comply Platform
Category:
Advisor Supervision Systems
Solutions for supervising advisor activities, reviewing client communications, monitoring outside business activities, and ensuring adherence to firm policies and regulatory requirements.
Comply Platform
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