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Comply Case Management
What Comply Case Management is
Comply Case Management is a cloud service for investigations into potential violations. It centralizes workpapers, correspondence, and other documentation so compliance teams can preserve oversight and respond to internal or regulatory requests. Configurable workflows route cases to appropriate reviewers while maintaining confidentiality, and workflow automation supports repeatable handling. Custom case fields, an audit trail, and reporting dashboards organize activity. Teams can analyze case data for behavioral patterns, escalate issues, and produce reports by category or classification. The service is available through web and API platforms, with integration capabilities for other industry solutions. Comply describes support for firms ranging from one- or two-person shops to large enterprises. Customer support is available 24/5 from dedicated subject matter experts. Comply cites SOC 1 Type II and SOC 2 Type II assessments, ISO/IEC 27001:2022 certification, and annual independent penetration testing. Pricing is provided through a demo request.
Who it suits
It is aimed at compliance teams documenting potential violations and enforcing policies consistently. Its stated customer range includes small shops and large enterprise firms.
What it does well
- Configurable confidential case workflows
- Centralized workpapers and correspondence
- Custom fields, audit trail, and dashboards
- Pattern analysis and categorized reporting
- Web and API availability
What to know first
- Pricing requires a demo request
- Typical onboarding takes approximately 6–8 weeks
- Case-specific integrations are not named
Plans
| Plan | Billed and limits | Price |
|---|---|---|
| Comply Case Management | Pricing by demo request | On request |
As comply.com lists them, read 12 Oct 2026. The maker's own page has the final word.
Verdict
Comply Case Management focuses on structured investigations, documentation, escalation, and reporting for compliance teams. Request a demo to discuss pricing, onboarding scope, and integration requirements.
Facts from Comply Case Management's own pages
- Analysis
- Case data can be analysed to identify behavioural patterns, escalate issues, and generate reports by category or classification. · comply.com, 12 Oct 2026
- Analysis and reporting
- Case data can be analysed to identify behaviour patterns, escalate issues, and generate reports by category or classification. · comply.com, 12 Oct 2026
- Audit trail
- Comply describes its case-management workflows as documented with a full audit trail. · comply.com, 12 Oct 2026
- Broker feeds
- Comply says its platform has direct broker feeds from more than 300 brokerage firms. · comply.com, 12 Oct 2026
- Case records
- The product keeps workpapers, correspondence, and documentation in one place for quicker internal or regulatory responses. · comply.com, 12 Oct 2026
- Company scale
- Comply says it supports large enterprise firms, small one- or two-person shops, and firms in between. · comply.com, 12 Oct 2026
- Custom case fields
- Yes · comply.com, 22 Sept 2026
- Deployment
- cloud · comply.com, 22 Sept 2026
- Documentation
- Workpapers, correspondence, and documentation can be maintained in one place for quicker internal or regulatory responses. · comply.com, 12 Oct 2026
- Integrations
- Comply says its platform has integration capabilities and APIs for connecting with other industry solutions, but the case management page does not name a case-management-specific integration. · comply.com, 12 Oct 2026
- Intended users
- Comply’s platform is aimed at financial-services firms including asset and investment managers, wealth managers, trading firms, investment banks, and insurers. · comply.com, 12 Oct 2026
- Onboarding
- Comply says typical onboarding for its platform takes approximately 6–8 weeks, with larger-client onboarding scoped to their needs. · comply.com, 12 Oct 2026
- Pricing access
- The product page offers a book-a-demo link and does not state a price. · comply.com, 12 Oct 2026
- Purpose
- Comply Case Management centralises investigations, documentation, and resolution of potential violations so firms can enforce policies consistently and demonstrate alignment with regulatory expectations. · comply.com, 12 Oct 2026
- Reporting dashboards
- Yes · comply.com, 22 Sept 2026
- Sales access
- The Case Management page invites prospective customers to book a demo. · comply.com, 12 Oct 2026
- Security
- Comply says it has completed SOC 1 Type II and SOC 2 Type II assessments and is certified to ISO/IEC 27001:2022. · trust.comply.com, 12 Oct 2026
- Security assessments
- Comply says it has completed SOC 1 Type II and SOC 2 Type II assessments and is ISO/IEC 27001:2022 certified. · trust.comply.com, 12 Oct 2026
- Security testing
- Comply says it performs annual penetration testing with an independent third-party assessor. · trust.comply.com, 12 Oct 2026
- Support
- Comply says customer support is available 24/5 and provided by dedicated subject matter experts. · comply.com, 12 Oct 2026
- Workflow automation
- Yes · comply.com, 22 Sept 2026
- Workflows
- Configurable workflows route cases to the right reviewers while preserving confidentiality. · comply.com, 12 Oct 2026
Where Comply Case Management stands on Freedom251
- Case Management Software#120 of 177