Average Ratings 0 Ratings
Average Ratings 0 Ratings
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
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
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
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