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Average Ratings 0 Ratings

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ease
features
design
support

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Write a Review

Description

COMPLY is an enterprise-grade regulatory compliance platform that future-proofs financial services firms against operational and regulatory risks. It integrates advanced compliance tools with expert advisory services, enabling firms to manage regulatory filings, conduct program reviews, and maintain real-time oversight of compliance activities. The platform is built to serve a wide spectrum of financial institutions, including private funds, broker-dealers, RIAs, and investment banks. Managed services free compliance officers from administrative burdens, allowing them to focus on strategic and high-impact activities. COMPLY offers customizable workflows, automated alerts, and comprehensive reporting to ensure timely and accurate compliance actions. Educational resources and industry events keep users informed on regulatory updates and best practices. With its combination of technology, services, and support, COMPLY functions as a true compliance partner rather than just a software vendor. This holistic approach enables firms to protect reputations, maintain client trust, and achieve operational efficiency.

Description

RegReview.io serves as a comprehensive compliance management solution tailored for registered investment advisers, broker-dealers, private funds, exempt reporting advisers, and various regulated entities, offering specialized versions for sectors such as insurance, real estate, and private credit. The platform consolidates both recurring and event-driven compliance obligations into a centralized calendar, featuring task tracking capabilities, monitoring for jurisdictional and registration requirements, streamlined document workflows, and synchronization with Outlook, Google, and Apple Calendar. Utilizing advanced AI tools, it evaluates uploaded documents, identifies key obligations, and assists in the creation of essential materials such as checklists, marketing reviews, annual reports, disclosures, and responses for audits. Additionally, teams can efficiently manage questionnaires, conduct vendor due diligence, maintain employee and registration records, and gather necessary evidence. Optional modules enhance functionality by providing support for email and instant message oversight, anti-money laundering (AML) measures, cybersecurity protocols, licensing, and various other compliance processes. Offering plans that accommodate both individual users and teams, RegReview.io also provides consultancy services for organizations that require additional support in navigating compliance management effectively, ensuring they remain aligned with regulatory standards.

API Access

Has API No 

API Access

Has API Yes 

Screenshots View All

Screenshots View All

Integrations

Apple Calendar No 
Claude No 
Gemini No 
Gmail No 
Google Calendar No 
Google Workspace No 
Microsoft 365 No 
Microsoft Outlook No 
Microsoft Teams No 
OpenAI No 
Slack No 
Zapier No 

Integrations

Apple Calendar Yes 
Claude Yes 
Gemini Yes 
Gmail Yes 
Google Calendar Yes 
Google Workspace Yes 
Microsoft 365 Yes 
Microsoft Outlook Yes 
Microsoft Teams Yes 
OpenAI Yes 
Slack Yes 
Zapier Yes 

Pricing Details

No price information available.
Free Trial No 
Free Version No 

Pricing Details

$79/user/month
Solo is $79/month for 1 user or $790/year. Starter is $149/month for up to 3 users, Pro is $399/month for up to 10 users, and Enterprise is $999/month for up to 25 users. A 14-day free trial is offered. Add-on modules and consulting services may have separate charges.
Free Trial Yes 
Free Version No 

Deployment

Web-Based Yes 
On-Premises No 
iPhone App No 
iPad App No 
Android App No 
Windows No 
Mac No 
Linux No 
Chromebook No 

Deployment

Web-Based Yes 
On-Premises No 
iPhone App No 
iPad App No 
Android App No 
Windows No 
Mac No 
Linux No 
Chromebook No 

Customer Support

Business Hours Yes 
Live Rep (24/7) No 
Online Support No 

Customer Support

Business Hours Yes 
Live Rep (24/7) No 
Online Support Yes 

Types of Training

Training Docs Yes 
Webinars Yes 
Live Training (Online) Yes 
In Person Yes 

Types of Training

Training Docs Yes 
Webinars Yes 
Live Training (Online) Yes 
In Person No 

Vendor Details

Company Name

COMPLY

Country

United States

Website

www.comply.com

Vendor Details

Company Name

FIN Group

Founded

2012

Country

United States

Website

fincompliance.io/regreview

Product Features

Compliance

Archiving & Retention Yes 
Artificial Intelligence (AI) No 
Audit Management Yes 
Compliance Tracking Yes 
Controls Testing No 
Environmental Compliance No 
FDA Compliance Yes 
HIPAA Compliance No 
ISO Compliance No 
Incident Management No 
OSHA Compliance No 
Risk Management Yes 
Sarbanes-Oxley Compliance No 
Surveys & Feedback No 
Version Control No 
Workflow / Process Automation No 

Product Features

Alternatives

Alternatives

No Alternatives
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