Name: 2026 Comply Platform Roadmap and Showcase
Uploaded: 2026-03-26T15:56:09.095Z
Duration: 40 min 12 s
Description: 2026 Comply Platform Roadmap and Showcase

Transcript for "2026 Comply Platform Roadmap and Showcase": Hello, everyone. My name is Allison Cooley. I am the senior director of product marketing here at Comply. And today, I'm gonna be walking you guys through a bunch of innovations and exciting things that are coming to the Comply platform in our roadmap. I know that I am joined by some clients today as well as some folks that we've been talking to. So just to take care of some housekeeping, I have designed the demos that you're going see today as takeaways. And so we're going to go through some guided interactive demos, and then you'll be able to play around with it and ask more questions after the fact. I've got some team members on the comply side that are in the chat. I would love to go look over there and answer questions, but it is going to distract me. So we're going to try and take care of any questions you might have about the roadmap, about what you're seeing on the screen, whatever it may be in the chat. But we really love to be able to give you the most informed answer. In the event we can't get you that answer right this second in real time, we're going to follow-up with you after that, after the fact. So before I start, I also want to remind you that there's going be a recording of today's session, so you'll be able to watch this over. And then let's get into things. So today, I'm going to take you through our roadmap, as I said, and then a couple of different demos. So we're going go through a trade rule violation on the Comply platform, which will give you a really great view of our new Employee three sixty user profiles, as well as our case management solution. And then we're going to get into the comply.ai policy guide, which is our new AI solution that we're releasing in the second quarter of this year, which is coming up. And then we have our communications archiving module that is now available on the Compliance Platform that we're thrilled to show that also has that mobile capture features. And then finally, we're going to take a walk through Compliance Program Management, which is our firm compliance solution. And so that has the compliance calendar, our risk assessment tool, our policy builder, as well as an annual review feature and vendor due diligence. So, I'm going to pop over to the next slide. Just a refresher for those of you who are new to Comply or maybe not know everything that we do as a business, here is kind of the overview of what we do. So anything from a new firm registration or handling additional registrations, whether it's with the SEC or FINRA, all the way up through, you know, Employee Trade Monitoring Code of Ethics, and then those firm compliance solutions. We're really excited to bring communications archiving onto the Comply platform. We also have modules for political contribution verification and a lot of great stuff going on in The UK for the FCA audience, and those firms regulated there, so really strengthening our SMCR framework, our accountability regime solutions, and things of that nature. The next slide is one of my favorites, maybe because I designed it myself. But I like to look at this view because if you're new to the Comply platform, if you're an existing client that maybe only has our trade monitoring module, this kind of shows that three sixty degree compliance. So to the left side of the screen, you've got those daily compliance tasks, managing your code of ethics, making sure certifications and access stations go out, making sure that you are monitoring MMPI and you have your control group, all of that. And then as you get into the firm compliance pieces, that's where you're doing your quarterly risk assessment, addressing policies and procedures and updating those in real time. And then that kind of flows right back into that certification attestation. And so it really does deliver this three sixty degree firm and employee solution so that you can have all of your data in one place. So getting into our roadmap. So we obviously just announced the comply communications archiving with mobile capture. We also are expanding comply program management, which is that firm compliance solution I've said about six times, I think, if I'm keeping count correctly, to have broker dealer, rather, 3120 review. We have Trailite, who we acquired in October, I believe, of 2025, and we are going to be offering SSO into Traillight for our clients that are global presence. You will be able to log into the Comply platform, go to that app launcher, and then go to Traillight. We have more to come with that integration later on this summer where we're going to be able to pull that Traillight data, so all of that person's, those individual people's accountability regime and things like that into the Comply platform, and you'll be able to see that on the Employee three sixty profile. Getting into the ComplyAIA policy guide, which you're going to see in a minute, this is our new AI solution that's going to help your firm, not your firm, your compliance team with your employees answer questions. So rather than you guys having to answer the same question over and over again or clarify the gift limit or clarify if you can bring someone to a concert or a golf tournament or whatever it be, we're going to give that the ability for employees to log in and ask those questions, and it's going to surface and reference your own compliance manuals. So I'll show you that in a bit. And then comply political contributions verification. So we're bringing in our great solution, on the PCD side into the comply platform, you'll be able to see your entire code of ethics and then also those political contributions, which is pretty important now that we're in election cycle this year. And then really amazing updates are coming to control room. We have heard you. We are listening. We are making those improvements, and I'm super excited to be able to talk more about that at a later date. And then the final one at the bottom right is our comply.ai calendar builder. And so this is a really powerful tool. It's going to scan your policies and procedures. It's going to scan manuals. It's going to scan your Form ADD, and it's going to help recommend those testing events, those risk assessment things that you need to do, the different monitoring activities or certifications, attestations, things that you need to do on a daily basis, and bring those into your calendar to help you better manage your program. All right. So let's get into AI. We just announced the Comply AI positioning, which is our responsible approach to AI. I think that right now, you know, listening to what the SEC and FINRA have both put out in their, exam priorities and regulatory oversight report, respectively, is they're going to be paying a lot more attention to AI. It should be no secret to any compliance leader on this call that AI's technology and technology needs to be monitored. And so, you know, a couple of months ago we issued a survey, and we asked about 600 or so CCOs across The US and The United Kingdom what their biggest areas of concern are when it comes to AI. And these shouldn't be much of a surprise to you. About 50%, if not more, are really concerned about disclosures, data privacy and security, model transparency and explainability, you know, lack of internal expertise, right? It's, you know, you don't wake up when AI comes and then you're suddenly an expert on how to use the solution. There's, you know, a little bit of a it's augmenting the way we work, but it's also people need to get up to speed and have different levels of expertise there. And then there's some cultural resistance. You know, any new innovations make people a little weary of change. And so, you know, that's happening today in firms like yours. But the biggest piece that came out of this survey is that despite all these firms adopting, I think the stat that I don't have here is 67% of firms are already using AI, and another 20 ish or so are preparing to use it. And this was a couple of months back, so we can imagine that those numbers went up. So AI is here, but only 49% of firms have a formal AI policy and governance structure. And so getting into the comply approach to AI is that we are building solutions that make sense for compliance teams. We are not infusing AI across our technology because there is a deep concern, that we need to do this right. And I don't mean concern like we're worried about it. I just mean it from a sense of, you know, we have a chief regulatory services officer. Her name is Jamila. She was a former SEC regulator, and she has a fantastic team. And so we work, from the product side with that regulatory services team to develop solutions that make sense for our clients, make sense for the industry, and make sense for the regulators. And so, Comply dot ai policy guide and the Comply dot ai calendar are both representative of that. Moving on to our other solutions, our approach is also just a governance and risk framework, right? So if you're a firm and you're exploring AI, and you haven't reevaluated your policies, you haven't spoken to IT about security concerns, you haven't gone through procurement cycles, or you don't have a seat at the table there, these are all pretty big things that need to be happening. And it's really important we strongly believe in supporting our clients and everyone in this industry of making sure that the regulatory compliance team has a seat at the table when it comes to procurement of all technology, especially AI technology, because it's not just how AI is leveraged maybe in your trade monitoring solution or communications archiving or marketing review, but more broadly at the firm. Right? So if you've got meeting notetakers or if you've got, you know, the marketing team generating content, like, these things need to be monitored. You need to know where these outputs are living and how they're being disseminated across, you know, publicly or publicly or internally rather. And so we're working really hard with our clients to evaluate AI policies, evaluate those use cases, and come up with a risk assessment, audit of sorts to make sure that your policies and procedures and everything is reflected correctly in your Form ADB and other materials. So, more to come on that. But what is my next slide? Next slide is we're going to cover communications archiving. So, this is new to the Comply platform. We have the ability to capture your email, your website, social media, and then professional messaging. So we have a governed SMS solution with a couple of third parties. But the thing we are most excited to announce is that we have native iMessage and WhatsApp capture for mobile devices. And I know we've gotten a lot of questions on this. We are going to be in Q2 releasing an ability blacklist personal phone numbers. So we hear you. To be compliant, you need to, of course, if you are using your phone for business purposes, and I feel like there's people nodding virtually, it is technically a business phone, right? But we do have a lot of respect for people using their phone for personal purposes. And maybe you don't want your grandmother's text message to you being archived by your firm and monitored and reviewed. So, we're sorting through that, and we're really excited to bring that in the next release of compliant communications archiving. It was my last slide. So I'm here solo, so hang on a second. I'm going to quickly move over to the first demo I want to show, which we are going to start with policy guide. So let me just change screens real quick. Yay. Okay. Sorry. Wild day. All right. So, let's get into this. So here is the ComplyA policy guide I've said 100 times. This is what it will look like in the Comply platform. So you're seeing here, you know, we have a couple of prompt questions. You program those yourself, But here's where they go. You can also write anything in the bottom here. So, we went and asked about the football tickets, and here you can see the responses that come up through the solution. And so, you're able to hover over these different elements, and it's going to expose part of your compliance manual that does that. So, it's not just a chatbot that say, yep, no, maybe so. Right? It is actually citing the source material. That way, you're able to make sure that your employees are doing their due diligence to read through that. And you can see this disclaimer at the bottom that says always refer to the compliance team as a final word as just an extra safety net to make sure we're empowering the staff to be able to ask questions and not put the burden on your team to continuously answer the same thing over and over again, but still remaining vigilant and compliant there. So, how do you set it up? Right? So, you're able to go into this really easy to use format, and you'll just go ahead and upload your manual. This could be your entire policies and procedures manual. You could have a US based one. You could have an Arizona based one. Whatever your firm looks like and your compliance manuals look like is up to your decision. We developed this in a way that it makes it really easy to use. And so, you'll go here, and you can select the different groups that you want to use it. So, to my reference, if you had a UK team or state level teams, you can have that. And then you'll go ahead and upload it. And then you can limit the different things. So, the advanced settings is really cool. Like, I know personally when I'm using OpenAI ChatGPT, I get so exhausted by, like, the long like, it's a long answer sometimes. This can let you kind of minimize the word count if it gets a little too intense here. And then you can say ask clarifying questions, enable communications with the compliance officer, just really great things. Here's where you can program that disclaimer here at the bottom. And then I, of course, always get ahead of myself with these little buttons. But you can, of course, as I was saying, adjust all these different things. And then once you reviewed all your settings, you just click the launch guide. It's that quick. It's that easy. And then your people, your employees, your compliance team, we recommend testing internally, of course, will be able to leverage that system, and it'll come up in their dashboard and their profile, to be able to ask those questions. So I'm gonna pause there for a second as I find my next screen to show mobile archiving, which was seemingly very quickly. So let's take a look here at, Comply Communications archiving. So if you have not seen this solution before, we're gonna walk you through the entire thing. So, we have multichannel coverage, and what I'm gonna be showing you today is that mobile capture. So, we have the ability here to have filters, heightened supervision, and review messages. So, as you go down, here's a message to Cynthia. So you'll click through there. And here's what's really cool about the solution. So we partnered with Leave Expert. They have a native iMessage integration. So they lock right into that Apple ID. If you have another solution, through some of the other widely known communications archiving vendors, they might not have that native iMessage capture. So we don't hook up to the cell providers, which a lot of other solutions do to capture those text messages. We hook up directly to Apple ID. And so if you're like, well, what happens when an Android phone comes into the mix? We have governed SMS solutions there. We also, if you're an Apple iPhone user and you're texting and the green texts are popping up, those can be captured in. But for now, as long as if it's two Android devices, we do not have that solution yet available, but we are definitely looking into it in our roadmap. So back to what I was showing you. So you can see here all of the messages are captured. You can see that we've got a guaranteed keyword no no, right? And then you can also see that we are able to capture the reactions. So a lot of things are said in emojis or different creative ways. So it's not just the text messages. We're able to do multimedia, reactions. And then if someone edits content, we're able to see here message edited. So if someone were to say something insider trading related and then they went to delete it, you would still be able to capture that message. And then any keywords, as you see here, that are flagged, you can bubble up those keywords. Let's just say you want to review anything that have those heightened keywords or concerning keywords in there for your team to go through that would be available to you. And then at the bottom, there's these great buttons where you can just kind of click through and say approved, got a thing, or flag this. And then if you go over to your settings, this is where you can invite your employees to connect to the system. And so we have a really easy onboarding guide where you can make two different videos, I'm happy to send them out if anyone's interested, That walks you through the steps here of connecting the mobile device to Leap Expert and then syncing them in the system. And so we're just going to walk you through a little part of that. You're going to click that send request, And then there is a little stuff that your employees will have to do on their end, but we have really great videos to walk you through them. I might be biased, but they are pretty good. And then here's where you can customize your frequency, which I personally love. So you might be at a firm that needs to review these, like full time person. Or you could be at a smaller firm and you're just needing to keep an eye on things. You can set that frequency here. You can also set the sample percentage. So if you want to review 1% because you have a massive workforce, or 20% makes more sense because you're a smaller firm. Whatever is defined in your policies and procedures, of course, and agreed upon with the team, can set here. And then there is the ability, of course, to say a limit to the amount of things that you want to review. Here's where you can add in those keywords and save phrases. So, you can go through and see all of these different things. They're programmed by you. We have some that come straight out of the box. And then, of course, there are people that need to have heightened supervision. And so, you're able to put those people easily in heightened supervision. It's very easy for your compliance team to come in and out and see who needs a little bit of extra attention as you guys go through these review cycles. And that's all we have for communications archiving. I feel like I'm talking very fast, so thank you for being patient with me. The next solution I would like to share is compliant programming management. And so, like I said, I think this is the seventh or eighth time, this is our firm compliance solution, so it's in the compliant platform. And I really, truly, this keeps me up at night because the word compliance calendar doesn't speak to the power of this solution. And I say on all of the client meetings I have or showcases or whatever it may be, like, if you have a better idea, I would love to hear it. My responsibility is to market these products, and it kind of kills me. But let's go through this so I can show you what I mean by that. And so, we just went into a calendar task, and you're able to customize all of this stuff. So, the classification, the subclassification, status, due date, you can edit the task, all of these different things. Oopsies. I'm going to go back. So, when you go and you have this task, so you have a compliance team member, you can assign it to different folks, you can have an approver, there can be questions and things of that nature within it. You can add documents, comments. You'll also see that entire audit history. And so this is why it kind of like keeps me up at night of the ability to call it something beyond a compliance calendar because it really is a project management solution embedded into a calendar. And so I constantly am talking to people about like, imagine having to go to a regulator and say, oh, I did these different things and you're like crawling through Outlook or crawling through a spreadsheet or a documentation over here of how you did that one activity or whatever it may be. This really brings it all together and makes it very easy to report out on when you do need to do your risk assessments in the annual review letter at the end of the year. And then let's show you how to make a task. So you're going to go over here. You're going click that task button. As I said before, you can assign it to a team member. You can assign it to the approvers. And then you can just put the items here. You have the option to change the colors, change the priority. You can make it due on any date you'd like. You can also make it repeat. So if you're doing communications archiving sweep on a monthly basis, you'd be able to just set that task, assign the different people, they'd go through the documentation, and be able to connect it all here. And then what we'll see here is, reminders. So, before, after, overdue, I think it's always helpful to have reminders, in the system. And of course, I jumped around for my own program. The little pop ups worked. We can also report, right? So, like I was saying earlier, it's not a calendar. You have the ability to report out everything in the calendar and what went down in that. So, if you're doing trade water review or reviewing policies and procedures, whatever it may be, it all lives in the system of record there that you can pull out. Getting into our risk assessment, we have different types of risk assessments based on your firm type and who you're regulated by. So, you'll see we have an investment advisor one, a FCA one, and a broker dealer one to date. And there are, last time I counted, 157 questions that are buried into this risk assessment. They are parts of big topics and then break down into more questions. So here you'll see a marketing review situation that was high risk that the firm in this example had to go through and document. Getting into our annual review tool. So, we have the investment advisor and then the broker dealer 3,120 review. So, I know it's not called an annual review, but we have it there in that section. And then here's where you're going to go through the pieces, and you're going to enter all those materials that go into your letter and go into those. So, just expanding out, you'll have all of your notes about the annual compliance meeting. Again, if that's in your compliance calendar, it's really easy to bring that over and have that documented for the regulators. And then at the end of this, you can download your report. And you'll be able to customize that and, you know, put your own little spin on it, and language and things of that nature and have that cleaned up and then have that sent out to the parties that need it. And then the final part of the solution is vendor due diligence. And so, vendor due diligence, it's pretty self explanatory. So, just helping manage your third party risk, we have a variety of vendors already in the system. You can also add vendors here, and then you can ask these different questions throughout the solution. We have one more part, and it's my favorite part. So, this is the Intelligent Policy Builder. Here's where you can manage, edit, and keep all of your different compliance manuals all in one place. What's really great about this tool is that we have a regulatory compliance team who is creating content, and as new rules and regulations shift, right? So, SP, different things like that that are coming in or any adjustments. I believe there was a gift adjustment threshold recently for broker dealers, changing the allotted gift amount. Things like that, being able to kind of push that notification, you can accept the changes, or you can say, Okay, I need to adjust my policies and procedures, and then do them however it is that you'd like to write them out. So, you can go through. There's version logs, and then just here's where it looks like. So, you've got the pre built templates. We can work with you on a consulting basis to help you really define those policies and procedures and make sure that they're aligned to your Form ADB. I think in the age of AI, what we were talking about earlier with AI governance, now is the time to really dig through those policies procedures and make sure that the AI use cases are documented. Everything you're doing with the firm with AI is constantly being evaluated and reflected here because when we get to that exam season, when we get to the end of the year, it's going to bubble up when the regulators walk through your doors. And that is CPM. And then I think the other piece that I wanted to show, if I could just stop sharing my screen right now and find it. Is bear with me. Alright. Okay. Sorry for the delay there. Here is a guide of the Comply platform. So if you're gonna climb on Comply platform for a long time, you'll probably be like Allison, have seen this. But there are some new exciting things that I do want to show you, and for our folks that are exploring Comply, this is a really good overview. So, going from the dashboard, here's our open communications. And so, I'm just going to walk you through kind of the workflow of what happens when an employee violates a trade goal, which is a common thing that you're dealing with probably on a daily basis. So, here is Claire Donovan. She failed to preclear a trade, and it was on the firm's restricted list. So we're going to go and look through here, and I kind of buried the lead there. So you can see it right here. You see, you know, Claire has a system flagged of buying 3,000 shares of Amazon. My colleague pointed out that that's an insane amount of money. So if you're thinking, Allison, that's crazy, I do know that, this person must be a gazillionaire to be able to do that. But anyhoo, how CLEAR has an unmatched trade, which was flagged in the system, and then, it also flagged that trade rule violation. So, two communications that you'll be able to see, and you just dig into there. So at the deeper level, you can see the brokerage account. You can see the date that the trade happened. And then you can see the rules that process. So these are the rules that you're building on the back end. They could be incredibly complex. We have clients with God knows how many rules running in the background. But in this scenario, she was, you know, trading on the restricted list. Whatever, you know, her background is, she has some sort of knowledge that prevents her from trading Amazon stock. And so, we're going to go and look and see just kind of what happened. But as you look at that, you can go through it, and I can say, hey, you know, flagged this. You know, I'm going to send it to my manager and say this is an unapproved trade. I'm going to go and start an investigation. So next up is our new Employee three sixty profile. So if you're a client, you haven't clicked around in here, you've got to look at it. It's a really clean, easy way. It reminds me of our dashboard to look at our employees and look at how individual people are tracking against things. And so here you see Claire's employee profile. Just pointing out a few things, the easiest thing we can do in this scenario is create that case. But if you were to scroll down, you can see the activity of that unmatched trade. You can see that she's got an overdue certification. You can see all of her brokerage accounts, her activities, the compliance record. You could go down all the way and do a conflict check. You could send her password reset email, which I'm sure happens all the time, and then you can drill down into all of these data records that are very specific to that individual person. So we are going to go and make a case. I love our case management features. I think it makes it really easy. You know, you are able to determine just how your firm wants to document and manage cases. And so, you know, there's some things that are out of the box. There's some things that are customizable. The case type, subtype, status, severity, things of that nature are all things that you can adjust. So, if you have different nomenclature or ways that you classify things, it's yours to kind of blank canvas with, but we do offer some stuff out of the box. So I went through and I filled all of that out, and then afterwards, you're going just see that this you know, this case has been created, and it is in the identification status. So, we are going to go and we're going to look and see the case. So here's the full details. You can go over here and edit the case. In the event that you accidentally make a case and then make another one, could delete it, right? And that would still be in the system of record. So sometimes we do the same thing twice at work, and we are able to delete that if we wanted to. So we're back. We filed the case. The investigation is underway offline, of course. And then we're going to go back to Clara's profile and just look at a few things here. So, one of the best features of this right now is our employee tagging, and so it's a little different than groups because you can apply different tag attributes to your employees. So, her two tags right now are that she's a do hire and a remote worker, which is most likely why she made that mistake of accidentally trading Amazon. And so, here we can go and we can either select from tags that are existing in the system or customize in advance of this scenario. And we're going to tag her with heightened supervision just because this was a big trader. We need to keep a watch on this. This could come out to have harm for the firm. And so now you can see this heightened supervision. So if you're a larger team or if you're someone who does not remember every single thing about every single person at your firm, you have these tags that you can color code and you can have them there and be able to make it easier for everyone across your firm to understand who's doing what, who needs hyper supervision, and maybe you have people who are on leave or you know are part time or whatever it may be. You can get really interesting with those tags there. And so that is all I have. I have talked very fast. So hopefully, we're able to see a bunch of different things on the Comply platform that you're interested in. We run these monthly, but if you are interested at all, I'm going to be sending an email out with the recording of this, as well as the different demos that I guided you through so you can click through them and look at them yourselves. But if you have any questions, my information is going to be on the sidebar, and you can send me an email. It's acoulicomply dot com. Pretty easy to remember, and I will put you in touch with whoever you need to talk to, whether it's a product expert or an account manager or a regulatory services expert or one of our success team members, just come to me and we can we can get you in touch with the right people. So super excited, and thank you all for being here, and I really appreciate your time. Take care.