COMPLYSCI, RIA IN A BOX, NRS AND ILLUMIS TO OPERATE AS COMPLY

USA - English

• USA - English

New parent brand and integrated leadership team clarifies corporate structure to enhance strategic growth and expand customer offerings

NEW YORK, Nov. 8, 2022 /PRNewswire/ -- ComplySci, the leading provider of regulatory technology and compliance solutions for the financial services sector, today announced the creation of parent brand COMPLY. The launch of COMPLY marks the official unification of ComplySci, RIA in a Box, National Regulatory Services (NRS) and illumis under one corporate umbrella with an integrated senior leadership team to solidify its position as the leading compliance solutions provider for the financial services sector.

Organizing ComplySci, RIA in a Box, NRS and illumis under the COMPLY brand will accelerate the organization's strategic growth initiative, while also better serving the industry with a holistic point of view and expanded offerings. As a result, customers will also be able to leverage the breadth of solutions and expertise from all four businesses and take full advantage of COMPLY's technology, consulting and education compliance solutions.

COMPLY's portfolio of companies will continue to market their solutions and offerings under their individual brand names. Customers across the financial services industry, including registered investment advisers, private equity firms and hedge funds, will have greater access to the firms' wide range of solutions with customizable choices in compliance software, consulting and education resources. The unified company will drive increased integration across its brands with plans to further expand product capabilities, improve client experience and interoperability, and introduce new solutions in 2023 to address dynamic regulatory environments.

"We are incredibly excited to announce the formation of our parent brand, COMPLY," said COMPLY Chief Executive Officer Amy Kadomatsu. "By officially joining our teams under a single banner and unifying our leadership team, we have affirmed our focus on being the champion for compliance professionals across the financial services industry. Even as each business continues to operate under its well-respected brand, our customers and our organization will see tremendous benefits as we unlock the full power of the combined knowledge and expertise within each of our companies."

As part of this change, COMPLY announced the promotion of John Gebauer to chief regulatory officer. Mr. Gebauer had previously served as the president of NRS, which was acquired by ComplySci in 2021, for the last 16 years. In his new position, he will play a strategic role in shaping the development of the firm's products and services to support compliance professionals in today's dynamic regulatory environment.

"I am incredibly honored for the opportunity to continue to support the expansion of the COMPLY portfolio of firms," said Mr. Gebauer. "We are continuing to grow at an unprecedented rate and further establish ourselves as the leader in compliance technology, consulting and education solutions. Providing firms with innovative and flexible solutions has become increasingly important as compliance teams are expected to meet an ever-growing number of regulatory requirements and answer calls for transparency by investors and clients in an ever-changing landscape."

At COMPLY, we pride ourselves on being the champion for compliance professionals. Merging technology, consulting and education, we help clients navigate the ever-changing regulatory environment. Our portfolio of firms includes ComplySci, RIA in a Box, National Regulatory Services (NRS) and illumis, whose more than 7,000 clients include some of the world's largest financial institutions. Clients throughout our portfolio of firms enjoy access to our full suite of industry-leading governance, risk and compliance (GRC) consulting, technology, managed services, analytics and outsourcing solutions.

Learn more at comply.com.

ComplySci, a COMPLY company, believes advanced compliance technology empowers compliance professionals to transform their business. Built for institutional investors, including some of the world's largest financial institutions, private equity firms and hedge funds, ComplySci's scalable and sophisticated platform helps our clients stay ahead of risk and unlock the strategic potential of their compliance data. Our regulatory technology solutions help compliance organizations 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.

ComplySci is part of the COMPLY portfolio of firms, which includes ComplySci, RIA in a Box, NRS and illumis. Learn more at complysci.com.

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