basiscode compliance llc

Founded in 2011, BasisCode Compliance LLC developed a leading compliance management system designed to help financial firms, including registered investment advisers (RIAs), broker-dealers, and private funds, manage their complex regulatory and compliance obligations. The software-as-a-service (SaaS) platform automates tasks such as compliance testing, certifications, gift and entertainment tracking, and personal trading surveillance. In 2021, BasisCode was acquired by the private-equity-backed holding company COMPLY, which consolidated it with other RegTech firms like RIA in a Box and Patrina. Today, BasisCode operates as a core product within the COMPLY portfolio, continuing its mission to simplify compliance for financial professionals.