Automate compliance checking and financial research disclosure

Blue Curve Comply provides a compliance database, automated compliance rules checking and disclosure generation. Based around the research controls introduced with NASD2711, Comply is easily configured to make financial research compliance a highly efficient and speedy process.

Financial research disclosure generation


The disclosure file generated by Blue Curve Comply contains current data, and is available in XML format. This makes it simple to insert into a document using a Blue Curve Process automated event.

It’s just as easy to display the data on a website using the Blue Curve API. And thanks to Blue Curve BluePrint, the format and design of financial disclosure data is up to you.

Contact us to get more information on the compliance management features of Blue Curve.


Financial research compliance database

Use the supplied Blue Curve Comply database to store all data required to check financial research compliance or generate disclosures. Analyst conflicts, firm conflicts, quiet lists stop lists, analyst holdings and more is all included. Supports NASD, SEC, FSA and European requirements, but easily extended to support the jurisdictions you confirm with.

Alternatively, link comply straight to your existing database using the business rules functions.


Financial research compliance checking

A set of configurable business rules allow you to set up the compliance checks you want to carry out for each type of report. Rules can be executed according to the jurisdictions you want each document type to comply with. The results of each rule can affect the workflow processing or disclosure generation.