RegReview Workflow · Email & IM Review
Email and IM surveillance for advisers and BDs
Automated review of Gmail, Outlook, Slack, and Teams for high-risk keywords, guarantees, and undisclosed conflicts — with SEC Rule 17a-4 archiving.
The problem
Random-sample email review misses the actual bad messages. Full-text review is impossible for a two-person compliance team.
How RegReview solves it
RegReview reads every message against a rules-based + AI-based lexicon tuned to your registration type — RIA, BD, private-fund, or insurance — and routes exceptions to a reviewer queue with 17a-4-grade archiving.
What the workflow does
100% coverage
Every inbound and outbound message reviewed — not a 5% sample.
Multi-lexicon
RIA, BD, private-fund, and insurance lexicons — plus a client-specific overlay for your restricted terms.
17a-4 archiving
WORM-compliant archive of the original message with metadata preserved.
Reviewer queue + escalation
Exceptions route to a queue with owner, SLA, and CCO escalation on miss.
Slack + Teams coverage
Not just email — Slack DMs and Teams channels reviewed the same way.
Reg BI + Marketing Rule cross-check
Auto-flags language that could constitute an ad, a testimonial, or a Reg BI violation.
What you get
- →Daily exception queue with owner + due date
- →Weekly review log signed by CCO
- →Annual roll-up to Rule 3120 (BD) or 206(4)-7 (RIA) testing report
Pricing
Beta pricing $349/mo (up to 25 seats) · Volume pricing above 25 seats
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See all pricingFAQ
Does this replace Smarsh or Global Relay?
For most sub-100-seat firms, yes. RegReview handles capture, archive, and review in one system. Enterprise firms on Smarsh can pipe archives into RegReview for the review layer only.
What about personal email addresses?
RegReview captures firm-domain traffic. Personal-email use by IARs is flagged by an attestation workflow, not by direct capture — that's the SEC's expectation per the 2022 off-channel enforcement guidance.
Other RegReview workflows
Marketing Review
Line-by-line scans of decks, one-pagers, websites, and social posts against SEC 206(4)-1, FINRA 2210, FCA, CSA, and ASIC — with reviewer sign-off.
Personal Securities Trading (PST) Review
Quarterly and pre-clearance PST reviews against your restricted list, holding periods, and blackout windows — with a Rule 204A-1 access-person report.
Trade Surveillance
Automated post-trade review against IAA §206, Reg BI, and best-execution obligations — flagging outlier prices, allocation drift, and cross trades.
Annual Compliance Review
RegReview rolls up 12 months of findings from Marketing Review, PST, Email, Trade Surveillance, and Calendar into a signed annual review under Rule 206(4)-7 (RIA) or Rules 3120/3130 (BD).
SEC & State Exam Response
The Exam Response Agent parses your SEC/state document request list into tasks, auto-locates responsive files from the OS, and drafts narratives for CCO review.