Every compliance workflow, laid out step by step

Ongoing program

Upload your existing manual and get a marked-up revision against current SEC, FINRA and state expectations.

1. 1Upload the compliance manual, code of ethics or WSPs
2. 2AI scans section by section and flags gaps, stale citations and missing policies
3. 3Suggested replacement language is drafted with the rule cited
4. 4You accept, edit or reject each change; the version history is retained

Ongoing program

Enter a CRD number and the year's obligations build themselves, synced to Outlook, Google or Apple.

1. 1Enter your CRD or IARD number, or upload your Form ADV
2. 2Every regulator with jurisdiction over the firm is identified
3. 3Tasks, owners and due dates are generated for the next 12 months
4. 4Subscribe by .ics so deadlines sit in the calendar the team already uses

Registration & filings

Track firm registrations, individual licenses, CE and state-by-state notice filings in one register.

1. 1Import your people and states by CSV or add them one by one
2. 2Each registration is matched to its renewal window and fee
3. 3CE and exam requirements are tracked per person
4. 4Renewal reminders fire before the state deadline, not after

Marketing & communications

Scan a deck, one-pager, website or social post line by line against the Marketing Rule before it goes out.

1. 1Upload the piece or paste a live URL
2. 2Every sentence is checked against SEC 206(4)-1, FINRA 2210 and, if relevant, FCA, CSA and ASIC
3. 3Each finding cites the rule and proposes compliant language
4. 4A reviewer signs off and the piece is stamped approved

Exams & audits

Run a mock exam against your own records and close the gaps before a regulator finds them.

1. 1Pick the exam module — SEC presence exam, FINRA cycle exam or state exam
2. 2Your uploaded records are tested against the module's request list
3. 3Findings are scored by severity with a remediation owner and date
4. 4Remediation evidence is attached as each item closes

Exams & audits

Paste an examiner's document request list and get an indexed binder mapped item by item.

1. 1Paste or upload the document request list
2. 2Each numbered item is mapped to the records you already hold
3. 3Anything unmatched appears on a gap report with an owner
4. 4Export an indexed, paginated binder with a cover index

Exams & audits

Assemble the Rule 206(4)-7 annual review from the year's actual activity instead of writing it from scratch.

1. 1The year's testing, findings, attestations and marketing reviews are pulled in automatically
2. 2Each required review area is tested and scored
3. 3Deficiencies and remediation are summarized for the CCO
4. 4The binder is signed and locked as of the review date

Ongoing program

Forty-plus policy and disclosure templates, plus AI-drafted disclosures with the rule cited.

1. 1Pick a template or describe the disclosure you need
2. 2It is drafted in your firm's voice with your entity details filled in
3. 3Every clause carries the rule or guidance it rests on
4. 4Approved versions are published to the firm library

Ongoing program

Send questionnaires, attestations and document requests to staff and chase the stragglers for you.

1. 1Choose a questionnaire — code of ethics, outside business, gifts, political contributions
2. 2Send to the whole firm or a group on a schedule
3. 3Reminders escalate automatically until each response lands
4. 4Responses and exceptions roll into the annual review

Ongoing program

One intake for every record — scanned by AI, reviewed by a human, or simply stored.

1. 1Drop in documents by file, email or integration
2. 2Choose the handling: AI scan, human review, or records storage only
3. 3Findings route to the right workflow automatically
4. 4Everything is retained to the books-and-records schedule

Ongoing program

Send policy acknowledgements and client forms for signature from your own email domain.

1. 1Choose a document from the firm library
2. 2Add signers and signature fields
3. 3Requests send from your domain, not a third-party brand
4. 4Signed copies file themselves back into the record

Registration & filings

Watch where your clients live, flag the state you now need, and drive the renewal to done.

1. 1Client and rep locations are tested against each state's de minimis threshold
2. 2New nexus is flagged before it becomes a late registration
3. 3Renewals are queued with fees, forms and owners
4. 4Filing confirmations are stored as evidence

Registration & filings

Registered agent, annual reports and franchise filings for every entity, in every state.

1. 1List your entities and their formation states
2. 2Annual report and franchise tax dates load from the 50-state catalog
3. 3Filings are prepared and reminders fire ahead of each due date
4. 4Confirmations and good-standing certificates are stored

Risk & oversight

Score every vendor, collect the diligence, and prove the review happened.

1. 1Inventory vendors and classify them by data access and criticality
2. 2Send the diligence questionnaire and collect SOC 2 reports and policies
3. 3Each vendor is scored and assigned a review cadence
4. 4Incidents and privacy reviews attach to the vendor record

Risk & oversight

Onboarding, offboarding, incidents and material changes each fire their own task chain.

1. 1Log the event — a new hire, a departure, an incident, an ADV-material change
2. 2The matching checklist launches with owners and deadlines
3. 3Dependent filings and disclosures are queued automatically
4. 4The completed chain becomes the evidence that the event was handled

Registration & filings

Import a trial balance and produce GAAP statements plus the Rule 15c3-1 net capital test.

1. 1Import the trial balance from your accounting system
2. 2GAAP profit-and-loss and balance sheet are generated
3. 3Net capital is computed with haircuts and allowable-asset tests
4. 4Results feed the FOCUS filing workpapers

Risk & oversight

Inventory the AI tools your team uses, set a permitted-use policy, and keep a reviewable log of every run.

1. 1Register each model and tool with owner, purpose and data exposure
2. 2Publish a permitted-use map and human review gate
3. 3Prompts, outputs and reviewer decisions are retained
4. 4Annual testing evidence is assembled for the exam file