The Compliance OS · AI Agents

12 AI agents. One Compliance OS.

Each agent has one job, cites the exact rule on every finding, and hands off to a licensed reviewer at the exit. Live today, in beta, or on the 2027 roadmap — see what's shipping and what's next.

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The Core 6

Six agents that run the RegReview core.

These six agents map to the canonical compliance workflows every RIA, BD, and private fund carries — the rest of the lineup extends into specialized coverage.

Live

Marketing Rule

Marketing Review Agent

Line-by-line scans of decks, one-pagers, websites, and social posts against SEC 206(4)-1, FINRA 2210, FCA, CSA, and ASIC.

Live

Personal Trading

PST Review Agent

Quarterly and pre-clearance personal securities trading reviews against restricted lists, holding periods, and blackout windows.

Live

Reminders

Compliance Calendar Agent

Auto-generated filing calendar tuned to registration type, AUM, custody, and jurisdictions — with reminders escalated to CCO on miss.

Beta

Communications

Email & IM Surveillance Agent

Reads Gmail, Outlook, Slack, and Teams for high-risk keywords, guarantees, and undisclosed conflicts — with SEC Rule 17a-4-grade archiving.

Beta

Regulatory Exam

Exam Response Agent

Turns an SEC or state document request list into a routed workflow — pulls documents from the OS, drafts responses, and tracks reviewer sign-off.

Beta

Rule 206(4)-7

Annual Review Agent

Assembles the annual compliance review — pulls findings from Marketing Review, PST, Email, Trade Surveillance, and Calendar into a signed report.

Paired RegReview capabilities

Filing & Renewal Autopilot →Disclosure Center →HR Compliance →AI Governance →

The full lineup

Live

Marketing Rule

Marketing Review Agent

Line-by-line scans of decks, one-pagers, websites, and social posts against SEC 206(4)-1, FINRA 2210, FCA, CSA, and ASIC.

→Flags missing disclosures, prohibited testimonials, hypothetical performance
→Cites the exact rule on every finding + suggested fix
→Signed audit-ready PDF with reviewer notes

Included with ADScanner from $49/mo

Live

Personal Trading

PST Review Agent

Quarterly and pre-clearance personal securities trading reviews against restricted lists, holding periods, and blackout windows.

→Ingests broker statements + 407 letters
→Matches against restricted list and blackout calendar
→Generates 204A-1 access-person report

From $165/mo · $45/person for enterprise

Live

Reminders

Compliance Calendar Agent

Auto-generated filing calendar tuned to registration type, AUM, custody, and jurisdictions — with reminders escalated to CCO on miss.

→Tracks ADV, Form PF, 13F, U4, custody audits, 3120/3130, 3310
→Emails + Teams + Slack reminders on the cadence you set
→Escalates missed items and logs sign-off

Included with RegReview from $99/mo

Beta

Communications

Email & IM Surveillance Agent

Reads Gmail, Outlook, Slack, and Teams for high-risk keywords, guarantees, and undisclosed conflicts — with SEC Rule 17a-4-grade archiving.

→Multi-lexicon: RIA, BD, private-fund, insurance
→Auto-tags exceptions and routes to reviewer queue
→Preserves originals under 17a-4 / SEA 204-2

Beta pricing $349/mo (up to 25 seats)

Beta

Trading

Trade Surveillance Agent

Post-trade review for best execution, allocation fairness, cross trades, and principal trades against IAA §206 and Reg BI.

→Ingests OMS/PMS trade blotters (Orion, Black Diamond, Addepar)
→Flags outlier prices, allocation drift, and cross trades
→Rolls up to CCO dashboard for annual review

Beta pricing $499/mo (single-adviser)

Beta

Regulatory Exam

Exam Response Agent

Turns an SEC or state document request list into a routed workflow — pulls documents from the OS, drafts responses, and tracks reviewer sign-off.

→Parses DRL into tasks with owner + due date
→Auto-locates ADV, WSP, testing files, marketing pieces
→Drafts narrative responses for CCO review

Retainer $1,500 setup + $500/mo during exam

Beta

Rule 206(4)-7

Annual Review Agent

Assembles the annual compliance review — pulls findings from Marketing Review, PST, Email, Trade Surveillance, and Calendar into a signed report.

→Rolls up 12-month findings by risk area
→Drafts CCO annual review narrative
→Produces signed PDF + findings register

Included with Gold/Platinum consulting

Beta

Private Capital

Fund Admin Agent

Automates capital account statements, side-letter tracking, investor onboarding, and NAV reconciliation for private funds.

→Generates quarterly capital statements + K-1 workpapers
→Tracks side-letter obligations + MFN cross-checks
→Investor onboarding: subs, KYC, AML, accredited-investor

From $2,500/mo per fund (2 seats)

Beta

Private Capital

Due Diligence Agent

Manager and adviser diligence — SEC/state disclosure pulls, ADV analysis, principal background, and litigation search in a single report.

→Pulls IAPD, BrokerCheck, PACER, and adverse media
→Auto-generates DDQ from source docs
→Signed diligence memo delivered to LP / allocator

$1,250 per diligence report

Coming Soon

Third-Party Risk

Vendor Diligence Agent

Ingests SOC 2 reports, DPAs, and security questionnaires — auto-scores vendors against your risk framework with re-review reminders.

→Parses SOC 2 Type II + ISO 27001 reports
→Tracks DPA + BAA + SLA obligations
→Annual re-review calendar with CISO sign-off

Target launch Q1 2027 · $299/mo

Coming Soon

New Accounts

Client Onboarding Agent

Runs new-client onboarding — KYC/AML, suitability, IPS drafting, custodian paperwork — with a compliance sign-off at each gate.

→OFAC + PEP + adverse-media screening
→Suitability + risk-tolerance capture
→IPS draft + custodian paperwork routing

Target launch Q2 2027 · $199/mo

Beta

Internal

Consultant Copilot

Not a customer-facing agent — the internal copilot FIN Group consultants use to draft findings, cite rules, and produce reports 3× faster.

→Rule-cited responses to consultant prompts
→Draft findings language + suggested fixes
→Learns from redlines to improve firm-specific voice

Internal · powers all managed-DIY and DFY delivery

FAQ

Are these AI agents or just AI features?

Each agent has a defined job, a set of tools, memory across sessions, and a human sign-off point. They're not chat interfaces bolted onto a form — they run compliance workflows end-to-end and hand off to a licensed reviewer at the exit.

Do the agents replace our compliance team?

No. Agents do the first (and heaviest) pass — the licensed CCO or consultant signs the final work product. Firms that want a full replacement use FIN Group's Done-For-You (DFY) delivery, where a FIN Group consultant owns the account and uses the agents as their toolset.

How is this different from Hadrius, Greenboard, or COMPLY?

Hadrius and Greenboard are software-only. COMPLY is enterprise consulting bolted onto legacy software. FIN Group pairs a Compliance OS (RegReview + InvestPrep + ADScanner) with fractional CCO consulting under one roof — the agents feed the consultants, and the consultants sign the work.

Which agents are live today?

Marketing Review, PST Review, and Compliance Calendar are Live. Email/IM Surveillance, Trade Surveillance, Exam Response, Annual Review, Fund Admin, Due Diligence, and Consultant Copilot are in Beta with active customer pilots. Vendor Diligence and Client Onboarding are on the 2027 roadmap.

Can I use the agents standalone (without consulting)?

Yes. Every agent ships as part of the RegReview, InvestPrep, or ADScanner subscription. Add fractional CCO consulting when you want the sign-off, exam prep, and remediation work included.

See the agents run on your firm's workflows.

14-day free trial of RegReview, InvestPrep, or ADScanner — no credit card required.

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