Operating Company Financial Services

Comply

New York City, New York, United States

Formerly known as ComplianceGuardian, Comply Regulatory Services, ComplySci

Provider of regulatory technology and compliance solutions for financial services organizations, helping clients identify, monitor, manage, and report on risk and conflicts of interest (including personal trading, gifts and entertainment, political contributions, outside business affiliations, and other Code of Ethics violations) across both institutional (firm) and employee compliance workflows, through technology, consulting, and education.

Focus Areas
Regulatory technology (RegTech), Compliance (GRC) software and services, Employee compliance
Website
www.comply.com

Tracked deals

3

3 tracked deals across 2021.

Recent pace

0

0 tracked deals announced in the last 12 months.

Deal mix

Buyout

3 buyout

Comply Acquisition Volume by Year

Last 1 years

Acquisition volume by year Annual acquisition counts for the last 1 years for Comply. 3 2021

Supporting Data

Recent Transactions

  • ComplySci Acquires RIA in a Box
    December 9, 2021
    Buyer
    ComplySci
    Target
    RIA in a Box
    Seller
    Aquiline Capital Partners LLC
    Industry
    Cloud & SaaS
    Location
    New York, United States
    Type
    Buyout

    ComplySci has acquired RIA in a Box, a SaaS provider of compliance, cybersecurity, and operational software for the wealth management industry. RIA in a Box will continue to operate under its brand with Will Bressman as President of the combined organizations; the acquisition expands ComplySci's GRC product suite and follows a strategic investment in ComplySci from K1 Investment Management (RIA in a Box had been previously backed by Aquiline Capital Partners).

  • ComplySci Acquires illumis, Political Contribution Data Aggregator
    November 18, 2021
    Buyer
    ComplySci
    Target
    illumis Inc.
    Industry
    Financial Services
    Location
    New York, United States
    Type
    Buyout

    ComplySci, a provider of regulatory technology for financial services, has acquired illumis Inc., a data aggregator and technology provider that monitors political contribution and public records data. The acquisition expands ComplySci's compliance platform capabilities by adding illumis's comprehensive political donation coverage and preclearance tools, and illumis will operate as a ComplySci company with its founder Mike Phillips serving as President, illumis.

  • ComplySci Acquires National Regulatory Services (NRS)
    October 21, 2021
    Buyer
    ComplySci
    Target
    National Regulatory Services (NRS)
    Seller
    Accuity (a LexisNexis Risk Solutions company, part of RELX)
    Industry
    Financial Services
    Location
    Connecticut, United States
    Type
    Buyout

    ComplySci, a New York–based regulatory technology provider, has acquired National Regulatory Services (NRS), a 30+ year provider of compliance consulting, education and the ComplianceGuardian technology, from Accuity (a LexisNexis Risk Solutions company). The deal combines ComplySci's employee compliance automation platform with NRS' hands-on consulting and training capabilities as part of ComplySci's growth strategy following a $120 million growth equity investment from K1.

Related Acquisition Pages

Financial Services Buyers & Acquisitions 2 tracked deals by Comply. Cloud & SaaS Buyers & Acquisitions 1 tracked deal by Comply. Acquisitions in New York 2 tracked deals by Comply. Acquisitions in Connecticut 1 tracked deal by Comply.

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