Disclaimer

General Disclaimer

The information provided by FIN Compliance ("we," "us," or "our") on our website and through our consulting services and SaaS platforms (RegReview.io, InvestPrep.io, ADScanner.io) is for general informational purposes only.

All information on our site and platforms is provided in good faith. However, we make no representation or warranty of any kind, express or implied, regarding the accuracy, adequacy, validity, reliability, availability, or completeness of any information.

Not Legal or Financial Advice

Important: Our consulting services and software platforms are designed to assist with compliance workflows and regulatory processes. However, the information and tools we provide do not constitute legal, financial, investment, or professional advice.

• We are not a law firm and do not provide legal advice
• We are not a registered investment adviser providing investment recommendations
• Our compliance tools are meant to supplement, not replace, professional legal and compliance counsel
• Regulatory requirements vary by jurisdiction and may change over time

You should always consult with qualified legal, compliance, and financial professionals before making decisions based on regulatory matters. FIN Compliance shall not be held responsible for any actions taken based on the information provided through our services.

Software, Platform & AI Disclaimer

Our SaaS platforms (RegReview.io, InvestPrep.io, ADScanner.io, FIN Portals, FIN Continuity, and related properties) are provided "as is" and "as available" without warranties of any kind. Many features are AI-assisted. While we strive to maintain accurate and up-to-date regulatory information:

• AI-generated outputs (summaries, flags, calendars, drafts) are tools to assist human review — not definitive legal, regulatory, or compliance determinations
• AI can produce confidently wrong answers ("hallucinations"); all outputs should be verified against primary regulatory sources (SEC, FINRA, state regulators, IARD/CRD/EDGAR) and reviewed by a qualified compliance professional
• Automated scans (including ADScanner Marketing Rule reviews) may not capture every issue or nuance and are not a Rule 206(4)-1 safe harbor
• RegReview deadlines and InvestPrep onboarding workflows are informational and do not, by themselves, satisfy any rulemaking obligation
• We do not guarantee any specific regulatory outcome, exam result, or that our platforms will meet all your compliance needs
• Technical errors, model outages, or service interruptions may occur

For a full description of where AI is used across FIN Group properties, model providers, data handling, and your opt-out rights, see our AI Use & Disclosure and Trust Center.

No "AI Washing"

FIN Group does not claim that any platform automatically passes a regulatory examination, guarantees compliance, or operates without human review. Where we describe a feature as AI-powered, AI is performing the task as described and a licensed compliance professional reviews any output that affects a client deliverable. If you believe any statement on our sites overstates what AI does, please email support@fincompliance.io and we will correct it.

External Links Disclaimer

Our website and platforms may contain links to third-party websites or content. We do not warrant or endorse the accuracy, reliability, or completeness of any linked third-party content. FIN Compliance is not responsible for any damages or issues arising from your use of external websites or resources.

Professional Responsibility

While our consultants and fractional compliance officers are experienced professionals:

• The ultimate responsibility for compliance lies with your firm and its registered principals
• Our services support but do not replace your firm's compliance obligations
• Regulatory filings and submissions remain the responsibility of the registrant
• You should verify all information and recommendations with appropriate regulatory authorities

Limitation of Liability

To the fullest extent permitted by law, FIN Compliance shall not be liable for any indirect, incidental, special, consequential, or punitive damages, including without limitation, loss of profits, data, use, goodwill, or other intangible losses, resulting from your use of our services, platforms, or website content.