RegReview · Capability
HR Compliance
Access persons, Code of Ethics, training, U4/U5 filings, OBAs, and gifts — every people-related compliance obligation, tracked with signed evidence. Delivered inside RegReview.
What's inside
Access-person register
Rule 204A-1 access-person tracking with quarterly certifications, holdings reports, and 407 letter workflows.
Code of Ethics attestations
Annual and change-of-status Code of Ethics acknowledgements — signed, timestamped, and stored to the exam file.
Training + CE tracking
Onboarding compliance training, annual refreshers, FINRA CE, and firm-specific modules with completion evidence.
New-hire + termination workflows
U4/U5 filings, background checks, fingerprint tracking, and off-boarding checklists routed to HR and Compliance simultaneously.
Outside business activity
OBA disclosures, private-securities-transactions, and gift/entertainment logs with CCO approval gates.
Rolls into annual review
Every HR-compliance finding feeds the Rule 206(4)-7 or Rule 3120/3130 annual review — no manual reconciliation.
FAQ
What is HR Compliance in RegReview?
The HR Compliance capability tracks every people-related compliance obligation an RIA or BD carries — access-person registers, Code of Ethics attestations, training, OBAs, gifts & entertainment, and U4/U5 filings — with signed evidence for the exam file.
Does it replace an HRIS like Rippling or BambooHR?
No — it lives alongside them. HR handles payroll, benefits, and PTO; HR Compliance handles the regulator-facing side (Rule 204A-1, Code of Ethics, U4/U5, CE, OBAs). Integrations write attestation status back to the HRIS so managers see one view.
How much does it cost?
$79/mo per firm as a RegReview add-on, or included with Gold and Platinum consulting tiers. Enterprise firms with 25+ access persons get volume pricing on request.
Does it handle PST (personal securities trading) reviews?
HR Compliance carries the access-person register and 204A-1 workflow. The actual PST review — quarterly holdings + pre-clearance — runs in the PST Review Agent, which is priced separately from $165/mo.