ComplySci Announces $ 120 Million Growth Investment from K1 Investment Management

NEW YORK and LOS ANGELES, June 10, 2021 / PRNewswire / – ComplySci, the leading provider of regulatory technologies and compliance solutions to the financial services industry, today announced that it has received a growth capital investment of approximately $ 120 million from K1 Investment Management, a leading private equity investment firm focused on high growth enterprise software companies.

ComplySci is a widely recognized leader in delivering innovative compliance software that creates a robust compliance function for employees. The company’s solutions deliver scalable identification and mitigation of employee regulatory and compliance risks with a high degree of accuracy and in a cost-effective manner.

ComplySci partners closely with C-suite teams as well as internal compliance, legal and technology professionals to provide technology-based employee compliance solutions for brokers, Registered Investment Advisors (RIAs) , hedge funds, private equity firms, investment advisers, venture capital firms and other companies in the financial services industry.

Amy kadomatsu, CEO of ComplySci, said, “We are delighted that K1 shares our passion for the opportunities ahead for our business and our enthusiasm for the future of innovation in the RegTech industry. With K1 as a partner, ComplySci looks forward to further developing our products and services and driving further growth through acquisitions. This investment underscores the tremendous momentum ComplySci has generated as a leading provider of innovative, technology-driven employee compliance solutions in the financial services industry.

$ 120 million Investment supports robust and continued growth

ComplySci will leverage K1’s investment to further develop its platform, including existing modules, such as political contribution verification, senior management and certification regime, and compliance program and product management. recently launched Conflict Audit and Compliance Control Room, which track company activities as well as employee activities to proactively identify potential conflicts of interest and market abuse through a single integrated solution.

“As evidenced by our record financial results for the first quarter of this year, which represented a new highlight for our already rapidly growing business, we are leaders in a segment of fintech where proven solutions from experienced vendors are still in demand. demand, regardless of the cycles of the market, economy or industry, ”Ms. Kadomatsu said. “For our customers, business partners and employees, our new partnership with K1 underscores this key point: the best is yet to come as we leverage the significant new investment in our business with talent, energy and innovative spirit. that our entire team brings to every customer relationship. We set the standard for the future of technology empowered employee compliance. “

Existing investors in ComplySci will retain their interests in ComplySci after the investment of K1.

K1 expands its reach in Fintech software

K1 has established itself as a leading investor in the enterprise software and Software as a Service (SaaS) industries, combining proprietary transaction sourcing capabilities with the experience and expertise of its operations team, K1 Operations, LLC. The company has a strong track record of partnering with enterprise software vendors, including Smarsh, Digital Reasoning, Entreda, FMG Suite, and others, to generate substantial growth in the wealth management field, an area where K1 believes particularly strong expansion opportunities exist for ComplySci.

Roy Liao, Senior Vice President of K1 Investment Management, said, “In this environment of ever-expanding regulatory complexities, financial services companies recognize how critical it is to have sophisticated and reliable employee compliance solutions based on technology. ComplySci has positioned itself successfully as a leading and trusted partner of these businesses, providing them with much-needed capabilities that give them the visibility and confidence they need to operate their businesses, on a scalable yet efficient basis. to partner with Amy and the ComplySci team to further expand the continued growth and success of the business. “

About ComplySci

ComplySci is a leading provider of regulatory technology solutions that help compliance organizations identify, monitor, manage and report conflicts of interest arising from employee activities, including personal transactions, gifts and entertainment, contributions policies, external business affiliations and other violations of the code of ethics. . Founded in 2003 by the early pioneers in the development of automated compliance management solutions, ComplySci is now trusted by more than 1,400 clients, including some of the world’s largest financial institutions. Compliance officers rely on ComplySci’s scalable and sophisticated platform to stay ahead of risk.

About K1 Investment Management

K1 creates category-leading enterprise software companies. As a global investment firm, K1 helps high growth companies achieve positive results and invests alongside strong leadership teams who continue to guide their organizations on a daily basis. With over 100 professionals, K1 and its operating subsidiary, K1 Operations LLC, are changing the industry landscape by helping with operations-driven growth strategies designed to help portfolio companies scale effectively. Since the inception of the company, K1 has partnered with over 150 enterprise software companies including industry leaders such as Apttus, Buildium, Checkmarx, Clarizen, ControlUp, Emburse, FMG Suite, Granicus, IronScales , Litera Microsystems, Onit, Rave Mobile Safety, RFPIO, Smarsh, WorkForce Software and Zapprouvé. For more information on K1, please visit or

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