Data Integration
Discussion on integration of your data with ComplyPlus.

 
 

Rules
An overview of the rule library and rule editor.

 
 

Workflow
Discussion of the workflow system. 

 
 

Reporting
An overview of the built-in reports and custom report tools.

 
 

Aggregation Engine
An overview of the built-in summary/aggregation engine.

 
 

Auditing
An overview of the tools which support the audit process.

 
 

Performance
Discussion about performance expectations for ComplyPlus.

 
 

Technology
An overview of the technology used to build ComplyPlus.

 

 

        

About ComplyPlus
Our flagship product, ComplyPlus, is built for speed and flexibility.  It is the next generation in compliance monitoring systems for the investment management industry.  It's fast enough to support the most demanding real time trading requirements and flexible enough to support the trust and institutional account requirements of both money managers and fund administrators. 

ComplyPlus diminishes the likelihood of securities violations, SEC enforcement actions, and private litigation.  For a fund or adviser, the potential costs associated with a securities law violation may consist of much more than merely civil liability or the fines and penalties imposed by the SEC.  Advisers may be denied eligibility to advise funds or could be precluded from serving in other capacities.  The reputation of a fund or adviser may be significantly tarnished, resulting in redemptions (in the case of an open-end fund) or lost clients. 

ComplyPlus provides you with the strongest compliance system available to help you sustain investor trust and confidence.  Having a strong internal compliance program lowers the likelihood of securities law violations and enhances the likelihood that any violations that do occur will be detected and corrected quickly, minimizing fines, penalties and costs associated with remedies such as making the client whole.

ComplyPlus is a high performance, highly-scalable and flexible rules-based compliance software product. ComplyPlus handles legal requirements as well as the most difficult client, prospectus, and internal investment guidelines, including complex pre/post trade exposure, concentration, and "what-if" checks.  The ComplyPlus legal module includes SEC, federal, and state regulations. The ComplyPlus foreign legal module (available Q1 2004) adds rules for over twenty countries.  Full featured reporting is included. Advanced workflow interaction with in-house investment professionals and external third parties reduces manual steps.  Built with the latest technologies and standards, ComplyPlus easily integrates with your firm's existing trading, accounting, custody, and investment management systems.

ComplyPlus is flexible enough to meet the needs of small firms with limited resources, large companies with several trading desks, and fund administrators with multiple clients.

Some Highlights

  • Built for speed - can run 2000+ rules/sec
  • Open, extensible architecture supports customizability
  • Pre built adapters for trading and accounting systems integration
  • Wide variety of asset classes supported
  • Full ability to extend/customize - No dependencies on our development staff
  • Multicurrency support
  • Highly scalable, fault-tolerant, and secure
  • Data Loader facility loads your data formats
  • Overlays and Groups help correct errors in incoming data
  • Use our Workflow system or yours - BizTalk Server supported