FIN Group announced the launch of Reg Review, an AI-powered compliance platform purpose-built for registered investment advisers (RIAs), private fund managers and exempt reporting advisers (ERAs), and broker-dealers — with additional versions available for insurance, real estate, and private credit firms. The launch follows an extensive beta in which FIN Group’s consulting clients ran live compliance work — annual reviews, mock exams, Form ADV and U4 disclosures, marketing reviews, vendor due diligence, registration tracking, and FinCEN AML readiness — through the platform.
Built in the field, not in a lab.
Reg Review was developed alongside FIN Group’s active consulting engagements. During beta, CCOs and compliance teams used Reg Review for production compliance work, providing continuous feedback that shaped the launch release.
“We didn’t build Reg Review in a vacuum. Every feature was pressure-tested by real CCOs and compliance teams during our beta,” said Cory Roberson, Founder & CEO, FIN Group. “The result is a platform that reflects how compliance actually gets done — not how software vendors imagine it.”
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What Reg Review includes at launch:
-Unified compliance calendar with recurring tasks, event-driven obligations, and AI-suggested follow-ups from uploaded documents.
-Five industry versions: RIA, Broker-Dealer (FINRA-focused), Insurance, Real Estate, and Private Credit — each with tailored templates, regulators, and workflows.
-Private Fund & ERA module for exempt reporting advisers and fund managers, including Form D and Form PF workflow support.
-FinCEN Investment Adviser AML readiness toolkit (effective January 1, 2028), with an 8-pillar checklist and event-driven obligations.
-AI document, marketing, and brand scanners that flag compliance risks and map findings to specific rules and frameworks.
-Disclosure Center for Form ADV Item 9, U4 DRPs, Reg S-P, cybersecurity, conflicts, and fee disclosures — AI-drafted with citations and deadline tracking.
-Regulator data feeds: Form ADV (IAPD), BrokerCheck, Form D, and SEC Litigation/AAER, with per-firm watchlists.
-Client registration and IAR CE tracking with CSV import and state-by-state grids.
-Audit and exam preparation tools, vendor risk management, and a Continuity Hub for succession and departure planning.
-Compliance questionnaire builder with public distribution links for fund DDQs and third-party data collection.
-Team collaboration with firm-based roles, consultant seats, and granular permissions.
Designed around the CCO
Every AI output in Reg Review carries prominent disclaimers advising users to verify findings with legal or compliance counsel. The platform runs on a secure architecture with row-level security, encrypted edge functions, and optional TOTP multi-factor authentication — meeting the operational expectations of SEC- and FINRA-registered firms.
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