Complisure [Our Compliance Management Solution]
Complisure is a comprehensive compliance management solution designed specifically for financial advisory firms.
It serves as the regulatory backbone of your financial advisory organization, ensuring adherence to industry regulations and optimizing compliance processes to enhance efficiency and minimize risk.
Starting from $249 USD per month.#*
# 10% off on Plus.
* additional one time on-boarding fee of $129 for new clients.
Key Features of Complisure
Regulatory Compliance Monitoring
The Complisure team monitors regulatory changes and ensures your firm stays up-to-date with the latest compliance requirements.
Compliance Documentation Management
Complisure's team manages and organizes compliance documents efficiently, ensuring easy access and timely updates.
Audit Preparation Assistance
Complisure offers comprehensive audit preparation support to ensure your firm is always audit-ready.
Compliance Training
The Complisure team provides ongoing compliance training online for your staff to maintain a culture of compliance.
Risk Assessment
Complisure conducts regular risk assessments, identifying potential compliance risks and recommending mitigation strategies.
Compliance Reporting
Complisure provides comprehensive compliance reports to keep your management team informed of your firm's compliance status.
Members-Only Compliance Forum
Complisure provides access to an exclusive online community where members can discuss compliance issues, share best practices, and receive expert guidance. Available for Plus members.
Complisure, powered by RiaFin, frees you from the complexities of compliance management, allowing you to focus on serving your clients. It goes beyond mere regulatory adherence, serving as your strategic partner in maintaining a robust compliance program. Our expert team approach offers comprehensive solutions, perfectly aligned with your unique regulatory needs. See Subscription Plans
Complisure is a Team of Compliance Experts
With a comprehensive suite of compliance capabilities, we offer tailored solutions to address any regulatory challenges your financial advisory business may face.
Together, we will develop a customized compliance program that identifies your specific needs and matches them with the perfect solution.
Whether your regulatory requirements change or evolve, our adaptable approach ensures we meet your unique demands.
Uncertain about a particular compliance issue or need assistance interpreting regulations? Count on us for expert guidance and support.
Detailed Service Offerings
Regulatory Filings
- Annual Regulatory Reports
- Client Disclosure Document Preparation
- Financial Authority Registration Management
- Professional Licensing and Registration
Policy and Procedure Development
- Compliance Manual Creation and Updates
- Code of Ethics Development
- Written Supervisory Procedures
- Cybersecurity Policies
- Business Continuity Plans
Ongoing Compliance Support
- Annual Compliance Reviews
- Advertising and Marketing Material Review
- Trade Monitoring and Surveillance
- Email and Social Media Archiving
- Conflict of Interest Management
- AML and KYC Compliance
Audit and Examination Support
- Regulatory Examination Preparation
- Audit Response Assistance
- Deficiency Remediation
Compliance Training
- Annual Compliance Training
- New Employee Onboarding
- Targeted Training on Specific Regulations
- Continuing Education Management
Compliance Technology
- Electronic Document Management
- Compliance Calendar and Task Management
- Regulatory Update Alerts
- Compliance Analytics and Reporting
Complisure, a compliance management solution by RiaFin for financial advisors, transforms the complex, ever-changing landscape of regulatory compliance into a manageable, streamlined process. It increases efficiency by automating compliance tasks and reducing manual work.
The expert-driven approach improves accuracy and reduces the risk of non-compliance. Enhanced oversight is facilitated through better documentation and reporting of compliance activities.
Moreover, Complisure is designed with adaptability in mind, allowing firms to easily adjust to new regulations and changes in the regulatory environment. By optimizing compliance processes, it can potentially lower the risk of regulatory fines and reputational damage.
In essence, Complisure allows financial advisors to focus on what they do best: providing expert financial guidance to their clients, with the peace of mind that comes from a robust compliance program.
By handling the intricacies of compliance management, Complisure's team empowers advisors to dedicate more time to high-value activities like developing strategic financial plans and nurturing client relationships, all while maintaining regulatory compliance.
Monthly Plans
Complisure [Silver] worth $699/mo
Comprehensive compliance management solution for your financial advisory firm
USD $249 per Month
Paid Month-to-Month [10% off on Plus]
Subscribe Now- Regulatory Compliance Monitoring
- Compliance Documentation Management
- Standard Compliance Training
- Annual Risk Assessment**
- Quarterly Compliance Reporting**
- Annual Regulatory Reports
- Client Disclosure Document Preparation
- Basic Compliance Manual Updates
- Annual Compliance Reviews**
- Basic Advertising and Marketing Material Review
- Standard AML and KYC Compliance Support
- Basic Regulatory Update Alerts
- Cancel subscription anytime
- 30-day money-back Guarantee
Complisure [Gold] worth $999/mo
Premium compliance management and risk mitigation solution for your financial advisory firm
USD $499 per Month
Paid Month-to-Month [10% off on Plus]
Subscribe Now- All features from the Silver plan, plus:
- Advanced Regulatory Compliance Monitoring with AI-powered updates
- Advanced Compliance Training with Personalized Learning Paths
- Quarterly Risk Assessments with Detailed Mitigation Strategies**
- Monthly Comprehensive Compliance Reporting
- Professional Licensing and Registration Management
- Customized Compliance Manual Creation and Regular Updates
- Cybersecurity Policies and Business Continuity Plans
- Continuous Trade Monitoring and Surveillance
- Email and Social Media Archiving
- Conflict of Interest Management
- Regulatory Examination Preparation and Response Assistance
- Access to Advanced Compliance Analytics and Reporting Tools##
- Priority Access to Compliance Experts##
- Quarterly Compliance Strategy Sessions**
- Cancel subscription anytime
- 30-day money-back Guarantee
# Indian GST Extra @ 18%.
* All payments are made on PayPal.
** Needs Annual Subscription.
## Available at extra cost.
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