RegFin
AI-powered RIA compliance software that replaces your archiving, monitoring, and vendor tools, purpose-built for registered investment advisers. Book a demo.
- Industry: Regulatory Reporting & Analytics (AI-suggested classification)
- Website: https://regfin.com
Product & Features
- Captures and archives all regulated communications (email, iMessage, social) in a WORM-sealed, evidence-grade record.
- Monitors holdings and trades against policy rules, flagging exceptions like concentration or restricted lists.
- Utilizes AI to pre-screen marketing content for compliance violations, streamlining CCO approvals and archiving.
- Drafts Form ADV filings directly from live platform data, offering year-over-year diffs and narrative checks.
- Offers AI-powered assistance for compliance tasks, drafting rationales and ensuring all AI actions are auditable.
- Manages vendor risk with a comprehensive registry, DDQ workflows, sub-processor tracking, and SOC 2 attestations.
- Unifies all compliance functions on a single platform with an integrated audit trail for holistic oversight.
Frequently Asked Questions
What is RegFin?
AI-powered RIA compliance software that replaces your archiving, monitoring, and vendor tools, purpose-built for registered investment advisers. Book a demo.
What does RegFin do?
Captures and archives all regulated communications (email, iMessage, social) in a WORM-sealed, evidence-grade record. Monitors holdings and trades against policy rules, flagging exceptions like concentration or restricted lists. Utilizes AI to pre-screen marketing content for compliance violations, streamlining CCO approvals and archiving.
What category does RegFin fall under?
RegFin is a legal technology company in the Regulatory Reporting & Analytics (AI-suggested classification) category.