Name: Comply Solution Showcase: Inside the Unified Platform for Compliance
Uploaded: 2026-01-28T16:56:06.674Z
Duration: 40 min 8 s
Description: Comply Solution Showcase: Inside the Unified Platform for Compliance

Transcript for "Comply Solution Showcase: Inside the Unified Platform for Compliance": Everyone, and welcome to the Comply platform showcase. I'm Allison. I'm the senior director of product marketing here at Comply, and today I'm joined by our chief product officer, David Bliss. We are super excited to walk you guys through, some of the recent innovations on the Comply platform, some new things that are coming, and then a few demos of just real world scenarios and workflows where clients and people who are looking at our solutions might find super valuable as you evaluate Comply. And with that, I'm going to send it over to David, who's just going to do a quick overview of the Comply platform, everything we do as a business as a refresher. And David, take it away. Thank you, Allison. Welcome, everyone. Thank you for joining us today. I'm going to cover at a very high level a couple of things on the slides here but then more importantly Allison is going to show you some amazing demos that better articulate the value that I'll introduce in some of these slides. So the first is what do we do as a business and as a compliance partner for our financial services clients? Well, this slide is the answer to that question in a nutshell. Everything from registrations and filing support to helping build or update and maintain policies and procedures both for startup investment advisors all the way through enterprise, hedge funds, private equity firms, investment banks, broker dealers. We do communications and e comms archiving. Obviously one of our strengths and deepest areas of expertise is in code of ethics, conflicts of interest, and things like trade monitoring and personal account dealing, political contribution verification in The UK and in other jurisdictions, individual accountability and SMCR requirements and things like control room. The best part is we do all of this on a single platform. We also support this platform and all these capabilities with a fantastic regulatory services team and consulting group that can help provide that area of expertise, the consulting and advisory side of compliance on top of our software. So that's probably enough for the intro. I'll jump right into what we have rolled out in recent innovation in terms of late twenty twenty five releases and then we'll look at what's coming in 2026. So, a big release in early December, I believe it was, was our employee three sixty enhanced user profile. So this is essentially an updated view of our employee profile page. Seems like a small thing, but actually having everything displayed in one place in a very easy to consume view with the ability to dive into more detail where necessary has made the decision making process for compliance officers and their staff much faster in deciding, should I approve this trade pre clearance request? What do I need to think about this outside business activity that this broker has disclosed to us because now I can see the full context of the employee's history and activity in one place all around compliance use cases. Also tagging, so the ability to tag individuals as high visibility executive, VIP, maybe this person is on leave and so I need to give them more time on certification so I can see those tags. High volume or high value trader, someone who is very active in their personal trading activity, you need to keep a closer eye on them from a risk mitigation perspective, those tags are now available. Let's go on to the next one here, Allison, bulletin board. This one preceded the employee view by just a few months, second half of last year as well. The ability to better communicate between compliance teams and all of the supervised individuals in the firm for anything compliance related. Obviously everyone relies on email but of course emails get ignored, they get sent to spam or deleted, whatever. And so the Bulletin Board does exactly what it sounds like. It makes it very easy for compliance to post notifications, reminders, hey check out this change in the policy, which of course you'll see in your next certification, all of those types of things. Posting those documents as well, you can target individuals or entire groups of people, it's not all or nothing. So you can say, hey, let's put this notice on the bulletin board just for the investment banking division or just for the private funds group, right? Entity by entity, region by region, or of course something more universal. The views and acknowledgments are tracked and archived and so the end users get a lot more visibility in just one more mechanism to ensure transparency and timeliness of those communications whenever they're already logging into the compliance platform, there it is. Alright, let's jump to the next one here. We also made a number of great enhancements to our gifts and entertainment capabilities and our APIs, especially trade requests and again on the G and E side delivering APIs there. So one submission, two systems. That essentially means that with our Gifts and Entertainment API, you can now have end users submit an expense report in a system like Concur or whatever you use and that system can ping the comply platform to see if that gift or entertainment has already been approved, via a pre clearance request in Comply. And in fact, you can also have the the user start in Comply and we can send the information to the expense system for reimbursement. It's just a huge improvement in the user experience, you don't have to put the same information into two different systems, one for compliance approval, one for reimbursement, those systems can now speak directly through this API that we've delivered. Automated policy enforcement, so we have added things like the ability to be more flexible on how you choose to aggregate employee to third party connections around, hey, I did a group event and I had 10 employees there and there were 50 clients there and how do I calculate and allocate the value of that gift or that entertainment, that event to individual employees and to the third party. A lot of system logic there and again through the API real time syncing between systems and we can also do similar integration for trade requests and submitting and approving trade requests via API as well. Alright, I think that's it for this one Allison. Security Master Search Improvements was also a big release in the 2025, so now when a user is looking to pre clear a personal trade, they have much more flexibility in how they search for the security that they want to trade. So whether it's stocks, ETFs, options, across all security types or if they know exactly where they're looking, different currencies, so the ability to search against multiple fields beyond the symbol to be very very targeted or very general in what they're looking for in order to find the right security and have high confidence that the thing they're pre clearing in the system matches the thing that they're trying to trade in their brokerage account. So not only is it much more intuitive, but the performance of the searches has significantly improved, returning results much faster. On the communications archiving, we have some major announcements coming very, very soon on the archiving side of things. We already help archive and store and review email, social media websites. We also have connections to MyRepChat and a few other professional governed apps for financial advisors to communicate with their clients, but in February we are launching the ability to capture iMessage and WhatsApp as well. So iMessage meaning native iPhone text messaging, we will be able to capture that directly and again WhatsApp. So adding those communication channels to our archiving products. Really excited about that one. Same. I'm very excited about that. And for anyone who's interested, we will be doing a showcase specifically around our text messaging capabilities in the coming weeks. So, David, I wanna jump into something that I know you and I are both very excited about, which is Comply dot ai and our first iteration around our AI solutions. And so I'm going to bring up a demo, if you can just hold, please, where we're going to walk everyone through the policy guide. And I think David and I love to talk over each other. So I'm going to let him lead as I navigate, but, you know, don't be alarmed, David, if I chime in. Of course. So getting this screen open for everyone. Alright. So, David, take us through this. There's some, you know, prompts that are gonna help just anyone as they look at this, but let's go into it. Yeah. So very excited about Comply dot ai policy guide. We have a number of clients beta testing this product already and have been testing it for a few months and we are really excited to launch this formally and make it generally available to our clients in 2026. So this is a sneak peek of that application. We've heard that up to 50%, 50% of compliance teams time can be spent answering questions about policies, procedures, how do I do this, am I allowed to do that. Very repetitive, rote work to respond to all these questions. We asked ourselves, couldn't we answer a lot of these questions for the end users right in the platform if we had those policies and procedures and FAQ documents loaded in from our clients? Well, turns out the answer is yes. So that is what policy guide is all about and we'll show you at the end of this demo how to configure it for your firm, but it gives the users immediate access to answering these questions. Of course, they could go and find the document today and scroll down to page 37 and read the policy for themselves, but this makes it far more effective, efficient for those users to find the answers they're looking for. So hey, can I give my client a monetary gift? What are policies around this? Am I allowed to do that? How do I report an issue? Etcetera. These are prompts that the firms will be able to choose for themselves. So if we test this out here, you can see, alright, I've asked, am I allowed to give a monetary gift in the value of the $200 range? And the product is essentially saying no you cannot. That is against our policies, we don't do any sort of cash gifts. You can see the details here and the best part is that it's going to refer directly to your source documents. So yes, this is AI, but the good news is the user does not have to take the AI's word for it, they can refer to the appropriate section of your official document and that's what you see on the right hand side here is where your firm's policy document, where the AI tool found the answer, would be displayed for the end user to verify for themselves. So that was a huge element that we heard in feedback from our clients. So that's just one quick sneak peek of the use case. Let's talk about how these would be set up. Well, hey, just like building a GPT or a bot, you go and you configure one in the tool, you push next here, add a new policy guide, experience, you can then choose to name it, who are the users who are going to have access to it, so is it just The US FINRA registered people? Is it all employees in The US? Is it all employees globally? Is it just this department or just this region? So all of those user groups are already defined in the platform. Then of course you need to configure it in terms of the voice, in terms of the reference material, right? So Here is where you can load all of the relevant documents. Obviously, for most of our clients that are already on the Comply platform, the most relevant set of questions will be around code of ethics and your conflicts of interest, code of ethics, personal account dealing, monitoring. Right? So load your code of ethics policies right in here. Any FAQs or other reference materials that you already make available, put those in here as well, more context is better for the bot. Right? Then you can configure it. Do you want to have the answer be extremely robust and comprehensive or would you rather have the bot answer in a much more concise targeted way? Those are settings that you can configure here. Again, it's always going to refer back to the source material, whether it's being extremely wordy or whether it's just saying yes or no to the question. I think that referring back to the source material is so vitally important. I knew I was going to interrupt you at some point, but you know, with the SEC and FINRA priorities and regulatory oversight coming out, like such a big mission of complying our intent when we're building these AI solutions is around explainability and, you know, being able to reference the source materials and feel confident that you are doing the right thing and taking that time away, that 50% time is so vital. So, keep going here. And then I think we just get into adjusting the target word counts of agent behaviors. Yeah, the behavior, a little bit of clarification on should it ask questions to confirm exactly what is trying to be answered, and then the disclaimers. So again, anyone who uses ChatGPT, Claude, Copilot, you're going to see disclaimers in there like, hey, remember this is an AI tool and you should verify the accuracy of the information given to you. You can do the same such thing here in a policy guide for your end users. I think that's about it for policy guide. Obviously there will be a lot more coming on this product as we finish the development and launch it in early Q2. Thank you so much, David, for walking us through that Comply AI Policy Guide demo. We are thrilled to bring that to the market soon, and we'll be following up with more showcases and things of that nature in the coming weeks and months. I'm going to jump right back into a few more demos, and then before I start to show the demos, I'm going to walk you guys through a couple of scenarios. So, to get started here, let's take you through the employee dashboard. So, this is the end solution the front end of what employees will be logging into when they log into the GIVEmploy platform to perform a variety of activities, like submitting OBAs, preclearance requests, completing their certifications and attestations, all of those code of ethics activities. And so, this is Carlos. Carlos is recently married to Naomi, who is a political journalist at The Wall Street Journal. So, there's some documentation that needs to happen about that. He also needs to add a joint brokerage account and do a few other activities. And so I'm going to walk you guys through what that looks like from the employee perspective now. All right, so here is the employee dashboard. As you enter, you can see all these different icons to add brokerage accounts, political contributions, trades, investments, things of that nature. We're going to navigate over to personal relationships. Here you can see a very easy to use form that you can configure how you see fit. Carlos is going to go down, select spouse and partner. We also want to document that his wife works as a political journalist at The Wall Street Journal, so that could introduce some complexities there. And then the start date of their marriage, end date, obviously not happening, and additional notes. So, just confirming the personal relationship and then simply submitting that. And then here Carlos can see all the submissions for personal relationships. If you go back on the history, you'll see the relationship with NAO we documented for the first time as a partner. And then Carlos has a few other things to do that we talked about. Right? So Carlos needs to add a brokerage account. So here Carlos is going to go through a form that's pretty easy to configure on the back end as a supervisor, just adding the broker and custodian, account number. If it's an existing account, you can give it a nickname, the relationship here, the account type, and then submit that through the system. And then next, Carlos can just go and add an OBA. So Carlos has started to volunteer with Riverside High School in their Financial Futures Program, And so Carlos is just simply going to go through the rules, or rather the request to be a part of this volunteer group. It's pretty benign. You know, it's a volunteer group at a local high school just documenting what it's about, how involved, no compensation, no financial information, no financial advice. It's with high schoolers, just documenting it all here, and then he can hit submit and have that on the record for the firm. Next, Carlos has noticed that there's a new certification that he needs to complete with the 2026 Code of Ethics Policy and Review Certification. You'll see that right here. So all Carlos needs to do once the supervisor configures this is go through the steps. And so, this is all customizable on your end. This one's quite simple. There's a document that needs to be read and reviewed, and then it's a simple yes or no question. You can make this more complex. In this use case, it's quite straightforward. And that takes us to the end of the employee profile view. There's plenty of more that we can show you, but just kind of walking you through what it would look like, how easy it is to use for your staff, your employees, your team, as they need to submit G and E and outside affiliations and personal relationships and trades and all those things. Next, I'm going to take you into one of my personal favorite demos, which is comply case management. So we're going to walk through what happens when there's a trade rule violation, is our example. So Claire is a new hire on the investment team. She executed a personal trade on Amazon stocks that was actually in the restricted list. So, we're going to go through what it looks like for a supervisor to be able to walk through those steps, investigate within the application of the compliant platform and then externally, and have an audit proof documentation of that file and follow-up with Claire if and when the regulators come asking, boards, whoever it may be. Alright, let's get into it. So, here is the supervisor dashboard. So, if you're a current client, you're very familiar with this. If you're exploring the Comply platform, This is a widget configured dashboard. It has a lot of data in it. You can move widgets around. You can hide them. You can see the preclearance requests and the open communications, overdue certifications, brokerfeed coverage, trades by asset, all of these different modules can be completely configured. But for this example, we're going to dive into the open communications. So this is an easy way for compliance teams to be able to see what's going on. And so this is going be all the open communications from the firm, and we're going to dial down into these two things that you see here, which is an unmatched trade from Claire that also triggered that trade rule violation. So it's time to figure out what went wrong. So as we scroll through, we can see that she purchased shares of Amazon that were on the restricted list. Obviously, that's a huge, huge risk to the business, depending on the scenario and the information she knows. You can easily email this from the system to members of your team, to groups of your team, and letting them know, hey, I'm working on this. You'll see a case come through or however you see fit. This is my example to you. You have the freedom to do what you'd like with the tool, but this is one way to document that. Here is a preview of the Employee three sixty profile. So David talked about this earlier. It's a complete overhaul of what used to be our employee profiles, which was very data based and not very visual. So, now we've brought this to a more visual perspective where you can get a real idea of Claire, who she is, when she started, what group she's in. We'll touch on tags in a minute. But just to give you a preview here, you can see simple things like the overdue certification she's got, a trade rule violation, her open accounts, things that are feeding, compliance records, transactions holding. Basically, any sort of data that lives in the Comply platform can now be served up in this Employee three sixty profile. You can run conflict checks. You can edit their details, send a password reset, plenty of things here. If you dove down into more things, you'd see even more stuff. This is incredibly valuable in the scenario of something has happened, a trade rule violation has occurred, and now I can very simply get a picture of what's going on. But not only that, we've added some features here with the create the case button. So you can also create the case from open communications or go into the case management, left navigation. But here on the employee profile, I can just simply go, okay, I know what's going on. I've done some digging. It's time to open up the case. And so, as a supervisor going in, I'm filling these out. So you can make these different case types and subtypes and statuses and things of that nature your own. You can also use ours out of the box, just clearly documenting this. What I absolutely love about this is it is in your system, and it is a fully auditable record of, hey, these trade rule violations happened. We know it's the restricted list, now we've opened up a case, and we have it documented. So, here you'll just see the case that has been saved. I've narrowed down the dates of this to only have the one case. If you have more, you know, there would be more that would be shown. And then let's say we open up the investigations and things happen. We've decided our next steps with Clare. So, we're going to issue a written warning to her, and we are going to keep her on heightened supervision. And so, let's walk through that. So, here you can see I've updated the case. I've uploaded my, written warning, and I've added notes. There's a full history of what's gone on, and I can just simply save it from here. What we also want to do is take a peek at that new tagging feature. So, if I go in and I say, you know what, it makes sense to just have Claire, what we're calling heightened supervision. I can add that tag in. You also have the ability, which you might not see here because my screen's not showing all the way oh, never mind. It's right here in front of me to create a new tag. So if you wanted to do that or customize any of those things, you have the freedom to do that as well. You might have different terms or nomenclature within your firm that you use, and we totally understand that. So all you have to do is just add that tag or create a new one and then have the Save button there, and now you can see that Claire is under heightened supervision. So one of the things that's important about this is, you know, as you have different team members, your team might grow, or you're a larger organization, maybe an enterprise. This gives you an additional layer as different compliance team members can kind of spot check and see, oh, okay, heightened supervision, know what that means. Remote worker, there's certain considerations there. New hire, we're going to be a little more accommodating to something of this magnitude because that's how our firm operates, and that's our policies and procedures, whoever it may be. All right, next up is a marketing rule violation. Hate to see them, right? So Jamie's a new social media manager at Summitbridge Partners. I'm not going to drain this slide for you. I think you can all read. But during a monthly marketing review sweep, the compliance team realized that there was a social media post posted to LinkedIn that had misleading performance data within it. And so the investigation uncovered that Jamie started using an AI plugin that was used to generate and schedule posts. And because of that and the unknown there, the compliance team was unaware the post ended up getting rewritten by the AIA tool and scheduled and posted. So we've got to figure out what went wrong, right? So I'm going to take you through, if you just give me one moment. Alright. Let's take a look at the communications archiving portal that will soon be in the Comply platform. So we're going to log in. Here, you're going to see the communications archiving review. So there are a few different features here. You can have flag words, heightened supervision, and review posts. Right now, we're going to take a look at a couple of different posts that have been sent through the system to the compliance team. So below, you'll see this LinkedIn post from Summit Ridge Partners. It was approved. Let's take a quick peek and see what that looks like. At the bottom, you can see these little, features down here, needs further review, add notes, or reviewed. In this scenario, it's already been reviewed, so they have clicked that review button. If you needed further review, you'd be able to click that button and then write your notes in there. And then getting into the post in question, right, so we said we have a post that was posted by that AI plug in, and it says that our investors have enjoyed strong double digit returns year after year, thanks to our market leading strategy. I don't have to continue reading for everyone on this showcase. You know that that's a huge violation of the marketing tool and puts the firm at serious risk, especially considering the fact that it was already posted. And so the next step for the compliance team is to investigate what we're And so now you're seeing us back in the Compli platform. What you just saw before will be on the Compli platform in the next coming weeks. But you'll go in and you're going to create a new case. And so I'm not going to walk everyone back through what we just did, but again, you can see that, as I mentioned before, you can create your own case type, your status, the severity of it. And again, we're documenting this, right? It's a full audit trail documentation. Here's what we've seen so far. Here's the details. You do not need to have the full case investigated. You do not have to have every single detail. That editing capability is throughout the solution. But as the compliance team worked through this scenario, they realized that this AI plug in actually introduced a lot of risk to the firm. And so the decision was made by the team to do full AI audit gap analysis. And so they ran through a lot of a risk assessment, talked to procurement, and started to understand, oh, what are our use cases for AI? What's acceptable? What's not acceptable? How are we bringing in new technologies? And in all of this conversation, the firm realized they needed to do a full AI policy rewrite and have that something that they're addressing and analyzing on a pretty consistent basis as the technology, as we all know, continues to advance at such a rapid pace. And so what you're seeing here is the Comply Intelligent Policy Builder, and you'll have your full manual in here. And to add a section, it's quite simple. You just click the button Add Section. So here, you'll see that I'm going to name it the AI policy, and then I'm just going to click through. And then I'll drop my AI policy in here. The beautiful thing about this solution is it's got full version control. It's in that Microsoft Word document. You're able to maintain and see historical edits and add your AI policy in as your firm develops it and decides to issue it. So here, you'll see that it's in the new section of the compliance manual. But what happens after a policy is created? Trick question. You need to certify everything, right? So you've got to create a certification event, and we're going show you how you can do that in the Comply platform. So, so far, we've noticed that there was a marketing rule violation. We created a case, investigated that case, and decided the firm needs an AI policy. So we're in that final step here. We're going to create that certification event. The Comply platform forms are super customizable, and so you'll be able to assign it to different employees or groups. Let's say the scenario was just to a specific group, you could do it there. This is an all company policy. And then it can be a one time event. You are able to turn on a bunch of different things like notification emails and reminder emails and overdue emails that helps your firm and your employees get those constant reminders that they do need to certify. And then because all of this has been documented, we do need to go through the Comply platform risk assessment. So this lives within Comply program management as well as that policy guide I just showed you, and all you need to do is simply go down, and we recommend this happening on a quarterly basis. It really depends on your firm, your size, and the scenario. In this scenario, it would probably be a good idea to say, Hey, this big thing happened. Let's dig into the risk assessment and make sure we have that flagged so that we have it now versus having to kind of pull it back together at the end. And so, we're just going down. There's a lot of different questions. I believe last time I counted 156 total with subsections within them, and so we're just documenting here the misrepresentation of services offered. It's at high risk. And that's going to take us through that last demo, and I'll get into the next one shortly. The last demo today is going to be our Comply Program Management solution, and so that contains our compliance calendar, which really is the backbone of the solution. It's beyond a calendar. It is a task management, project management, program management solution, and you'll get to see what it's like as an end user on the supervisor team as you navigate through those different tasks. We're also going to get into the risk assessment and the annual review a little bit. And so this is Toby and his experience, and let's take you through it. All right, so what you're looking at here is the COMPLY program management calendar, and you'll see some past due events, what's going on today, as well as upcoming events. And so this really truly is a full, robust calendar you can populate with your own firm's testing events or different compliance dates. It also comes pre populated with events that come as we kind of scan and pull out your Form ADB and policies and procedures or other compliance materials, and we'll help you build these calendar events. And so let's just go look through here. It's the week of the eleventh in this scenario, and there's a quarterly risk assessment, some marketing review, and a G and E review. And so let's just go through this as if we were Toby. So quarterly risk assessment is something Toby's already started, but here you can see the classification under firm compliance, the subclassification. Again, these are all open ended things. It comes out of the box, but you can also fill them in yourself. You can put your different instructions in here. If you're a CCO or a leader on the team, you can create these different things and assign them to groups or individual contributors on your team. And so it looks like this is set up to repeat every three months. So they're running this quarterly, and there's a few reminders in here just to make sure that Toby doesn't forget. And so let's go through the risk assessment part. And so, Toby's 99.9% done with this risk assessment. You can look down. You'll see all of these different categories, and if you click within them, which I'm going to do shortly, you'll see they branch out. And so this is the books and records piece, and Toby needs to just add a little bit more in here to complete that risk assessment. And then you'll see that documented there. Here's what it looks like when you open it up. So, can have the section where it's addressed with. There's a few different options there. Oopsies. And then you can put the response person. So, this is, again, a view of that example I shared earlier with the AI tool. You can see that Toby is going through and saying like, Hey, this did happen. We do need to include it on our risk assessment, etcetera, etcetera. And then we're going to go through now, as Toby, and look at other tasks that we need to accomplish this week. So we know that from our earlier scenario, we need to be doing an AI policy review and updates pretty frequently because of that marketing rule violation, and so compliance Toby's manager asked Toby to create a new task where they're going to add a monthly review of AI policies and procedures. And so you can see that he set the priority to medium. You can change the color here, the due date to repeat. Again, just all of these different really great settings that help you and your firm stay on task with all of the reminders. And then you'll see that on the twentieth of every month, moving forward, that AI policy review event is now on Toby's calendar, and it's fully documented. All right. Thank you, everyone. We really appreciate you joining us today for the Comply Platform Showcase. As I may or may not have mentioned earlier, we're going to send a recording of this session after. You should look up for an email from our team tomorrow. All right, everyone. Thank you so much for joining David and I today during our Comply Platform Showcase. As I mentioned earlier, we're going to send an email out to everyone who registered, so you'll get a recording of today's session. And then if you reach back out to us, we're happy to share those demos that I walked you through today. If you've got questions, feel free to email me directly at aqueulicomply dot com, and I can either answer those questions or put you in contact with the person who can. We look forward to seeing you again next time. And with that, we'll say goodbye.