FIN Group launches AI compliance platform for advisers and fund managers

FIN Group launched Reg Review, an AI-powered compliance platform for registered investment advisers, private fund managers, exempt reporting advisers and broker-dealers, after a beta with live client workflows. The product aims to centralize calendars, filings, disclosures, exam prep and monitoring as firms prepare for expanding regulatory demands.

Why it matters: - Reg Review is aimed at firms that need to manage SEC, FINRA, state and AML compliance without adding full-time staff. - The platform centralizes recurring obligations, filings, disclosures and exam prep in one system. - FIN Group is positioning the product for advisers and fund managers facing more complex oversight and tighter reporting workflows.

What happened: - FIN Group announced the launch of Reg Review on July 15, 2026. - The platform is built for registered investment advisers, private fund managers, exempt reporting advisers and broker-dealers. - FIN Group also offers versions for insurance, real estate and private credit firms. - The launch follows an extensive beta with consulting clients using the platform for live compliance work. - Cory Roberson, founder and CEO of FIN Group, said the platform was pressure-tested by real CCOs and compliance teams during beta.

The details: - Reg Review includes a unified compliance calendar with recurring tasks, event-driven obligations and AI-suggested follow-ups from uploaded documents. - The platform offers five industry versions: RIA, broker-dealer, insurance, real estate and private credit. - The Private Fund & ERA module supports exempt reporting advisers and fund managers with Form D and Form PF workflow support. - The platform includes a FinCEN investment adviser AML readiness toolkit tied to the January 1, 2028 effective date, plus an 8-pillar checklist and event-driven obligations. - AI tools scan documents, marketing and brand materials for compliance risks and map findings to specific rules and frameworks. - The Disclosure Center covers Form ADV Item 9, U4 DRPs, Reg S-P, cybersecurity, conflicts and fee disclosures with AI-drafted output, citations and deadline tracking. - Reg Review connects to regulator data feeds for Form ADV through IAPD, BrokerCheck, Form D and SEC Litigation/AAER, with per-firm watchlists. - The platform tracks client registration and IAR continuing education with CSV import and state-by-state grids. - Additional tools include audit and exam preparation, vendor risk management, a Continuity Hub for succession and departure planning, and a compliance questionnaire builder for public DDQ distribution and third-party data collection. - Team features include firm-based roles, consultant seats and granular permissions. - Reg Review’s AI outputs include prominent disclaimers directing users to verify findings with legal or compliance counsel. - The platform uses row-level security, encrypted edge functions and optional TOTP multi-factor authentication. - Reg Review is available at regreview.io with tiered pricing and a 14-day free trial for new customers. - Premium add-ons include the Policy Reviser, DOL Rollover Analysis, Private Fund & ERA module, Communication Archiving and Cybersecurity Monitoring.

Between the lines: - FIN Group is expanding from consulting into software, while keeping the product tied to practitioner workflows rather than generic compliance templates. - The beta-first launch suggests FIN Group is using live client usage to validate product-market fit and refine features. - The platform’s disclaimer and security features signal an effort to balance AI automation with oversight expectations from regulated firms.

What's next: - FIN Group says Reg Review will be part of its broader product family alongside AD Scanner and Invest Prep. - The company also says the suite is meant to connect compliance, marketing and investment teams in a single workflow. - Firms adopting the platform will likely use the free trial and add-on modules to tailor the system to their regulatory footprint.

The bottom line: - FIN Group is trying to turn compliance operations into a software product built around how regulated firms actually work, not how vendors think they should work.