ComplySci / COMPLY alternatives: RegReview by FIN Group
Firms comparing ComplySci (part of COMPLY, which also includes NRS and RIA in a Box) with RegReview are usually deciding between licensing a platform and buying an operating system that comes with a compliance team attached.
FIN RegReview
An AI-based compliance operating and reporting system for RIAs, broker-dealers, and private fund managers — compliance calendar, annual reviews, personal securities trading, filings, disclosures, and exam response in one place.
Explore RegReview (Compliance OS)ComplySci / COMPLY
Compliance software suite for advisers and broker-dealers
- Long-established, widely adopted platform with a large installed base of advisers and broker-dealers
- Deep employee-conflicts tooling — personal trading, gifts and entertainment, outside business activities
- Broad partner and integration ecosystem built up over many years
Side-by-side
| Dimension | FIN RegReview | ComplySci / COMPLY |
|---|---|---|
| Primary model | Compliance OS + fractional CCO | Software platform; consulting sold separately across the COMPLY family |
| Personal securities trading | ✓ PST review workflow with reviewer credits in Gold/Platinum tiers | ✓ Core strength of the platform |
| Marketing / advertising review | ✓ ADScanner AI + human sign-off, included or as an add-on | Available via separate products in the COMPLY family |
| Who performs the work | Bundled with FIN Group's fractional CCO and consulting tiers — software plus a named senior compliance professional who owns the deliverable. | Your in-house team, unless consulting is purchased |
| Pricing transparency | Published tiers and add-on rack | Quote-based |
Based on publicly available product information and positioning. Vendor capabilities change — confirm current details directly with ComplySci / COMPLY.
Where RegReview differs
Delivered as a service, not just a license
RegReview ships inside FIN Group's consulting and CCO tiers. You can run it yourself (DIY), have us run parts of it (Managed DIY), or hand the whole program over (done-for-you).
Marketing review is built in, not bolted on
ADScanner reviews marketing pieces with rule citations and routes them for human sign-off, so advertising review lives in the same system as your calendar and annual review.
Published pricing
FIN's tiers, add-ons, and module rack are listed publicly on our pricing page — no procurement cycle required to learn the cost.
Which one should you pick?
Choose FIN RegReview when…
You want the software and the people in one engagement — a named CCO who owns the annual review, the exam, and the filings, with the platform included rather than licensed separately.
Choose ComplySci / COMPLY when…
You have an in-house compliance team that wants a mature, widely deployed platform to administer themselves, and conflicts-of-interest monitoring at scale is your dominant requirement.
Frequently asked
Is RegReview a direct replacement for ComplySci?
For most emerging and mid-market firms, yes — RegReview covers the compliance calendar, annual reviews, personal trading, filings, disclosures, and exam response. Very large firms with highly customized conflicts programs should compare feature-by-feature before switching.
Can you migrate our existing data?
Yes. Transitions typically take 2–4 weeks, and we coordinate directly with the outgoing provider on exports, open items, and the current-year compliance calendar.
See it on your own program
A 20-minute walkthrough with a senior FIN CCO covers your current stack, what RegReview would replace, and what it wouldn't.
Other RegReview comparisons: MyComplianceOffice (MCO) · Smarsh