Three strategic integrations with RIA in a Box’s MyRIACompliance software creates first-of-its-kind reporting and filing solution
COMPLY, a leading provider of regulatory technology and compliance solutions for the financial services sector, announced three new points of integration with wealth management platform Advyzon: 13F Filing, Compliance Calendar and Employee Trade Monitoring. Together, the strategic integrations create scale through operational efficiencies, ultimately enabling a stronger culture of compliance for advisory firms.
The partnership aligns COMPLY’s comprehensive compliance expertise with Chicago-based Advyzon’s integrated wealth management platform that helps advisory firms of all sizes run and scale their business, combining customizable performance reporting, flexible billing, robust client relationship management and more in one integrated platform. Together, the firms will provide additional solutions through MyRIACompliance software, powered by COMPLY’s RIA in a Box.
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Integrations include:
- 13F Form Filing: Automatically populates firm holdings and files a firm’s 13F Form, eliminating manual intervention.
- Compliance Calendar: Complete required regulatory compliance tasks without leaving the Advyzon platform, removing the need to manage multiple calendars and enhancing a firm’s culture of compliance.
- Trade Monitoring: Automatically populates client transactions from Advyzon into the same view as employee transactions for comparison and auto-flagging of any potential employee trading violations.
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“COMPLY is committed to bringing the most comprehensive regulatory compliance solutions to market, including strategic partnerships like that with Advyzon, to improve efficacy and efficiency in our clients’ compliance programs and businesses at large,” said COMPLY Chief Product Officer David Bliss. “Before this partnership, our mutual clients had to employ manual processes to apply the full value of their Advyzon-housed data towards the 13F Filing and Trade Monitoring processes offered through COMPLY. By bringing to market these critical integrations, one of which is a first of its kind for both COMPLY and Advyzon, we empower firms to increase automation and focus their energy on higher value tasks.”
“We’re thrilled to integrate with COMPLY’s MyRIACompliance,” added Advyzon Chief Revenue Officer John Mackowiak. “We have quite a few clients in common already and are always looking for ways to add value and enhance the user experience. This integration leverages data already within Advyzon and eliminates extra effort involved with compliance.”
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