ClearComply
Empowering financial firms to efficiently monitor trades, advisor conduct, and compliance trends — with modern workflows for inquiries, follow-ups, escalation, and audit-ready oversight.
We created ClearComply to serve as a compass for compliance — helping financial firms navigate increasing regulatory complexity with clarity and confidence. As expectations evolve and scrutiny intensifies, our mission is to ensure firms remain compliant without fragmented tools, manual processes, or unnecessary overhead.
ClearComply is a modular compliance and risk-monitoring platform for investment dealers, advisory firms, and compliance leaders. Built as a unified platform, it helps firms move away from reactive, spreadsheet-driven compliance and toward proactive, data-driven oversight.
At its core, ClearComply brings trade-focused monitoring together with advisor-level insight and leadership-ready views — enabling early risk detection, consistent supervision, and scalable oversight without adding headcount. The result is clearer visibility, stronger governance, and confidence in every compliance decision.
We do this by:
See everything. Miss nothing.
Trade360 provides an all-encompassing lens for monitoring trade activity. It provides a 360-degree view of all transactions, highlighting compliance with regulations and flagging any potential anomalies. With Trade360, firms can ensure every trade is transparent, suitable, and compliant.
AdvisorConduct offers a clear view of advisor behavior and client interactions. It ensures that every advisor’s conduct aligns with the highest ethical standards and regulatory requirements. With intuitive insights and clear metrics, firms gain confidence in the integrity of their advisory services.
TradeReady Advisor gives advisors a simple, intelligent review before placing a trade. It automatically evaluates KYC alignment, client risk tolerance, concentration limits, age-based considerations, and other suitability factors. By identifying issues early, advisors can act confidently and reduce the need for compliance follow-ups.
Leadership360 Insights equips compliance leaders with a comprehensive view of trends over time — from daily activity to weekly, monthly, quarterly, and annual insights. It helps identify emerging risks, track program health, and understand long-term supervisory patterns.
Developed with the core needs of CIRO-regulated firms in mind, ensuring that compliance is central to every function.
Adopt the capabilities you need today and expand over time — with a modular architecture that adapts to your firm’s structure, size, and regulatory needs.
Built with security, access controls, and data protection in mind — supporting strong governance without slowing down compliance teams.
Every action, inquiry, and decision is tracked with clear audit trails — helping firms demonstrate oversight, accountability, and regulatory compliance with confidence facilitating smoother regulatory processes.
Tailor the ClearComply supervision engine to reflect your firm’s specific policies, product mix, and risk tolerance. Configure rules and suitability parameters to align oversight with how your business actually operates.
Designed to support firms of all sizes — from a single advisor to 5,000+ — with a modular architecture that scales supervision, reporting, and oversight as your firm grows.
Move beyond reactive reviews with early warning indicators that surface emerging risk before issues escalate — enabling timely intervention and confident supervision.
Bring trade monitoring, advisor oversight, and compliance workflows into a unified platform designed around how supervision teams actually operate. Reduce fragmentation, improve consistency, and scale oversight without adding headcount.
Strategic reporting and oversight designed for compliance leaders to identify emerging risks, monitor program health, and demonstrate effective supervision over time.
Streamlined compliance workflows that help operations teams efficiently manage trade supervision, advisor conduct, and regulatory processes with greater visibility and control.
Pre-trade guidance that helps advisors deliver suitable, client-focused recommendations while addressing potential issues early to reduce delays and compliance follow-ups.