Broker Dealer Compliance

Investment Advisor Solutions

When it comes to broker dealer compliance and investment advisor solutions, you can count on Compliance11™. Compliance11 was founded in 2005 to meet the needs of corporate and financial compliance professionals. The company is a leading supplier of software for the compliance industry, offering broker dealer compliance solutions through sophisticated software applications. Compliance11 Supervisory Suite is a robust, integrated software application that supports investment advisor, investment company and broker dealer compliance activities. It enables firms to effectively manage and automate four regulatory compliance areas mandated by the SEC and FINRA. These products include: personal trading, affirmations & disclosures, case management, gift management, and case management.

Compliance11 is led by a distinguished team of professionals with an unparalleled mix of financial, broker dealer compliance, and software development experience. Talon Asset Management, a diversified investment management company, is the lead investor with several executives serving on the Board of Directors.

Compliance11's select list of customers includes William Blair & Company, ThinkPanmure LLC, Talon Asset Management and Cowen and Company LLC. The Company is headquartered in Chicago with additional offices in New York and Los Angeles.