RegFin

RegFin offers AI-powered compliance software for registered investment advisers, integrating communications archiving, trade and marketing monitoring, vendor due diligence, and an AI compliance consultant into a single platform.

Categories

Compliance & RegTech

RegFin Compliance Platform

RegFin is a compliance platform designed for registered investment advisers (RIAs), integrating archiving, compliance, and vendor due diligence into a unified system. It offers comprehensive solutions for communications archiving, trade monitoring, marketing reviews, and more, all within a single platform.

Features

  • Email, SMS, iMessage, WhatsApp archiving
  • Social media & website capture
  • Trade monitoring & preclearance
  • Form ADV, marketing reviews, vendor due diligence
  • Approved Content Library
  • AI copilot
  • Client document delivery

Company Details

Headquarters
🇺🇸 United States
Type
Legal Tech Vendor
Pricing
Subscription
Deployment
Cloud
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