AI Use & Disclosure
FIN Group builds AI-assisted compliance tools for a heavily regulated audience. This page explains exactly where AI is used across our sites and platforms, what it can and can't do, and how we protect your data.
Where we use AI
AI assists — never replaces — the licensed compliance professionals on our team. Today, AI is used across the following FIN Group properties:
- FIN Group / fingroup.io & fincompliance.io — blog drafting, marketing copy, internal research, and the content recommendation engine on this site.
- RegReview.io — calendar generation, deadline classification, and first-pass summaries of regulatory updates.
- InvestPrep.io — investor onboarding workflow drafting, document classification, and KYC/AML packet summarization.
- ADScanner.io — initial flagging of Marketing Rule (Rule 206(4)-1) issues in advertisements, social posts, and pitch decks.
- FIN Portals, FIN Continuity, FIN Books, FIN Audits — drafting, summarization, and routing assistance inside client portals.
Human-in-the-loop is mandatory
Every AI-generated output that affects a client deliverable is reviewed by a licensed compliance professional before it is sent, filed, or relied upon. AI shortens the path to a draft; a human owns the final answer.
Our team members hold credentials including CCO, IACCP®, CSCP®, and Series 7/24/63/65/66, and operate under FIN Group's own internal AI Acceptable Use Policy.
What AI does NOT do
- AI does not provide legal advice. FIN Group is not a law firm and no attorney–client relationship is created by using our sites or platforms.
- AI does not make final compliance determinations. Final regulatory judgment always rests with your firm's CCO and registered principals.
- AI does not guarantee regulatory outcomes, exam results, or that any filing will be accepted.
- AI does not replace primary regulatory sources (SEC, FINRA, state regulators, IARD/CRD/EDGAR). Always verify against the source of truth.
- AI can hallucinate. Outputs may be plausibly worded but factually wrong; treat them as starting points, not final work product.
Models we use & data handling
Our platforms call third-party large language models through secure server-side APIs. We currently use models from OpenAI, Google (Gemini), and Anthropic, accessed through enterprise gateways that operate under zero data retention (ZDR) terms — meaning your inputs are not stored by the model provider and are not used to train their foundation models.
The following always apply:
- API keys live in encrypted server-side secret vaults — never in your browser, never in client code.
- Client data is transmitted over TLS 1.2+ and processed in US-based infrastructure by default.
- We do not sell, license, or repurpose client data for model training, advertising, or analytics.
- You may request, at any time, that we exclude any specific document, dataset, or workflow from AI processing.
For our full list of sub-processors and security posture, see the FIN Group Trust Center.
Product-specific risks & disclosures
RegReview.io
AI-generated deadlines, calendars, and update summaries are informational. Your firm must verify against primary sources (SEC, state, FINRA, NFA) before relying on them for filings.
InvestPrep.io
AI-assisted onboarding does not, by itself, satisfy your BSA/AML program, CIP, or Reg S-P obligations. Investor PII is processed in line with our Privacy Policy and never used for model training.
ADScanner.io
AI flags are a first pass — not a Marketing Rule safe harbor. False positives and false negatives are expected. Final Rule 206(4)-1 determinations remain the firm's responsibility.
FIN Group sites & blog
Some blog and marketing content is AI-drafted and human-edited. Where data, statistics, or regulatory citations appear, we work to verify them, but readers should confirm against primary sources.
AI washing — what we won't do
The SEC has brought enforcement actions against firms for misrepresenting their AI capabilities ("AI washing"). FIN Group will not claim that any platform "automatically passes" an exam, "guarantees" compliance, or operates without human review. If you ever see marketing language on our sites that overstates what AI does, please email support@fincompliance.io and we will correct it.
Your rights & opt-outs
- Opt out of AI processing on specific documents or workflows — email support@fincompliance.io.
- Request a model & sub-processor list in writing for your due diligence file.
- California residents: you have additional rights under the CCPA/CPRA. See the Privacy Policy "Your Rights" section.
- Outsourcing-rule readiness: we can provide a vendor due-diligence packet (security, sub-processors, AI use) for your CCO file.
Changes & contact
We update this disclosure whenever our model providers, data flows, or AI features materially change. Material changes are noted in the effective date at the top of this page.
Questions? Contact our compliance team or email support@fincompliance.io.