Agent Access · Powered by RegReview
Ask your compliance program a question — from the assistant you already use
Most compliance questions are one lookup away from an answer, but the lookup means a login, a report and a spreadsheet. Agent access connects RegReview to the AI assistant your firm already approved, so deadlines, registrations, findings, policy language and marketing review answer in plain language — authenticated as you, and logged for your exam file.
What a compliance officer can ask
Every answer comes from your firm's own records, not from a general model's guess about the rules.
"What compliance tasks are due for my firm this quarter?"
"Which state registrations come up for renewal before December?"
"Pull the open findings from our last mock exam and who owns them."
"Does this paragraph work under the Marketing Rule?"
"Which staff have not returned their code of ethics attestation?"
"What does our manual say about outside business activities?"
What gets connected
Agent access opens a defined set of workflows, not the whole database. The full workflow library is on the workflow library page.
Read your compliance calendar
Open and overdue tasks, owners and due dates for your firm — answered in the assistant instead of a login.
Read registrations and licensing
Firm and individual registrations, states, renewal windows and CE status.
Look up policies and disclosures
Ask what your own manual, code of ethics or disclosure library says, with the section cited.
Submit a marketing piece for review
Send text or a URL for a Marketing Rule scan; findings come back with the rule cited and the review is logged in your records.
How it works
Turn on agent access in RegReview
A firm administrator enables agent access and chooses which workflows are exposed.
Add the connection to your assistant
Paste the connection address into your assistant's connector settings and approve the sign-in prompt.
Ask in plain language
Deadlines, registrations, findings, policy language and marketing review — answered from your own records.
Evidence stays where it belongs
Anything the assistant produces or reviews is retained inside RegReview as part of your books and records.
Built for a supervised environment
A compliance officer cannot adopt a tool that has no access controls and leaves no record. Agent access is designed around both.
You connect as you
The assistant signs in with your RegReview account and sees exactly what you see — your firm's data, nothing else.
Read-first by design
The connection starts with read-only tools. Anything that writes to your records is explicitly labelled and confirmed before it runs.
Logged like any other review
Every request made through an assistant is written to your AI governance log with the user, the tool and the timestamp.
Model-agnostic
Works with whichever assistant your firm already approved. Model names appear for identification only — no affiliation, endorsement or integration is implied.
Read our AI disclosure and trust page for data handling and the sub-processor list. Firms building their own tools on a model API should also see Governed AI Development.
Frequently asked questions
What is agent access to a compliance platform?
Agent access lets an AI assistant your firm already uses — such as Claude, ChatGPT, Gemini or Copilot — read from and act on your compliance platform through a secure, permissioned connection. Instead of exporting a report, a compliance officer asks a question in the assistant and the answer is drawn from the firm's live compliance records.
Is this safe from a regulatory standpoint?
It is the same control question as any other technology the firm adopts: who can access what, is access authenticated, and is the activity logged. Agent access authenticates each user against their own RegReview account, applies the same permissions they already have, and writes every request to the firm's AI governance log. That log, plus a permitted-use policy and a human review gate, is what an examiner expects to see.
Can the assistant change our records?
Only where you allow it. The connection opens with read-only access. Write actions — submitting a marketing piece for review, for example — are labelled as such, confirmed before they run, and attributed to the user who asked.
Which assistants does it work with?
Any assistant that supports standard tool connections, including Claude, ChatGPT and Gemini. FIN Group is model-agnostic; model names are used for identification only and no affiliation, endorsement or integration is implied.
Is our data used to train an AI model?
No. Firm data is not used to train models. See our AI disclosure for how AI is used across FIN Group client work, and our trust page for the sub-processor list and data handling.
Does this replace the compliance platform or a CCO?
Neither. Agent access is a faster way to ask questions of a program that still lives in RegReview, and the record of record stays there. Judgement calls, sign-offs and the annual review remain with the CCO — your own, or a fractional CCO from FIN Group.
What does it cost?
Agent access is included with RegReview plans rather than sold as a separate module. Contact us for the rollout timeline and to be added to the early access list.
Get on the early access list
Tell us which assistant your firm has approved and which workflows you would connect first. We will include you in the first rollout group.