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Compare compliance tech with peers, without the sales pitch.
Compliance Tech Talk · For RIAs, broker-dealers & fund managers
Honest, moderated peer reviews and real tech stacks from compliance officers at SEC-, FINRA- and CFTC-regulated firms. Free for CCOs.
Run on the Chatham House Rule: speak freely — nothing is attributed to you or your firm.
Also join us on LinkedInFree for compliance officers at RIAs, broker-dealers and fund managers. Independent, moderated, never pay-to-rank.
Compare compliance tech with peers, without the sales pitch.
Connect with the firms and vendors your trade and account feeds power.
Get in front of the compliance pros actively evaluating tools.
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Coming from Craig’s compliance technology article? Compare notes with peers on established platforms, newer tools and AI oversight. Free membership, candid experiences, no sales pitches.
Real answers from compliance peers. Visible to members only.
Official-source firm research
Our October 22, 2026 import brings together official SEC and state-registration records for public firm search, separate from the vendor directory.
Counts reflect imported source records—not site members or published profiles—and may overlap across registers. Validated imports update search without individual firm approvals. Registration status alone does not establish whether a firm is still in business.
Search regulated firmsSEC, FINRA, CFTC, NFA, SIFMA, the NSCP and the Investment Adviser Association, in one list.
Headlines link to each organization's own site and refresh every weekday. Members can search and filter every item in Regulatory Watch.
Open Regulatory WatchA short monthly note on compliance tech: new reviews, vendor news, data feed updates. No spam.
Under the Chatham House Rule, members can share what's really happening at their firm, and nothing said is attributed to an individual or firm outside the community.
Browse the vendor directory by category.
Read moderated peer reviews and compare vendors side by side.
Share your own stack and see what peers would buy again.
Our mission
Vendor pages tell you what a tool is supposed to do. Members tell you what it actually does at firms like yours. Compliance Tech Talk exists so compliance officers can see real stacks, honest peer reviews and candid answers — moderated, anonymous when you want it, and never pay-to-rank — before you spend another afternoon on a demo.
Reviews are moderated before publication.
Sponsorship never affects rankings or reviews.
Member names and firms are visible only to you and admins, and you can post anonymously.
Tools for advisory-firm compliance teams.
Technology for supervision and communications oversight.
Peer perspectives on investment-management compliance tools.
Compliance technology for futures and derivatives firms.
A bit about your moderator
I've spent 17+ years in compliance technology. From 2007 to 2018, I ran customer service at Compliance11, where sensitive data was part of the daily job: account numbers, holdings, and personal trading records inside firms' compliance systems. In all those years, I never had a data issue. That's why I take moderating this group seriously.
Full disclosure: I run a couple of projects in this space, including ThirdNexa (thirdnexa.ai), a third-party risk platform, and the Compliance Tech Talk vendor directory. I built them out of a passion for serving compliance officers, who are usually treated as a cost center but deserve affordable, state-of-the-art technology with enterprise-grade capability. I keep those projects out of this group. Here I'm just your moderator: vendor-fair, pitch-free, and respectful of what members share.
Craig also previously worked at Charles Schwab and MyComplianceOffice, and now runs Compliance Tech Talk.
And just for fun: I've served as moderator and reunion chairman for the Springfield High School Class of 1985 reunion since 2006 — two decades of keeping a very different kind of group in order.
Compliance Tech Talk is owned and operated by Compliance Admins LLC. Its host, Craig Neal, founded Compliance Admins and ThirdNexa (thirdnexa.ai), a vendor risk platform. ThirdNexa is listed in the directory like any other vendor, with no ranking advantage.
Broker data feeds
Explore public-source broker information and community setup tips. Broker-provided account tools are distinguished from broader compliance platforms; unconfirmed details stay marked unverified.
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