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Luna Compliance

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Luna Compliance is compliance software for SEC-registered investment advisers. It does the reading, tracking and drafting that fill a chief compliance officer's week: • Marketing review against the SEC Marketing Rule, with findings pinned to the page • A compliance calendar built from your firm's registration and business • Policies, acknowledgements and attestations in one place • Code of ethics: pre-clearance, personal trading, gifts, political contributions and outside activities Luna recommends. A person decides. Every decision is recorded for the examiner. Pricing is published on our website. Start free, with no demo or sales call required. Luna Compliance is a software company. It is not a law firm and does not provide legal advice.

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