Checklist
2026 Fintech Compliance Checklist
2026 Fintech Compliance Checklist
2026 Fintech Compliance Checklist
Download the 2026 Fintech Compliance Checklist, the essential guide used by compliance and risk leaders to stay audit-ready and scale securely.
Download the 2026 Fintech Compliance Checklist, the essential guide used by compliance and risk leaders to stay audit-ready and scale securely.
Download the 2026 Fintech Compliance Checklist, the essential guide used by compliance and risk leaders to stay audit-ready and scale securely.
As seen on:
As seen on:
As seen on:
Inside the Checklist
Advertising & Marketing Review
Advertising & Marketing Review
What SEC examiners review under the SEC Marketing Rule, including approvals, disclosures, performance claims, and record retention across marketing communications.
What SEC examiners review under the SEC Marketing Rule, including approvals, disclosures, performance claims, and record retention across marketing communications.
Supervision & Governance
Supervision & Governance
Documented supervisory structures examiners expect to see, including defined responsibilities, review processes, escalation, and evidence of oversight.
Centralize workflows for policy approvals, tasks, and team collaboration.
Handle employee training, attestations, and vendor due diligence in one streamlined platform.
Books, Records & Retention
Books, Records & Retention
SEC recordkeeping requirements for retaining, organizing, and retrieving marketing, supervisory, and compliance records, including retention periods, version control, and timely production during SEC examinations.
SEC recordkeeping requirements for retaining, organizing, and retrieving marketing, supervisory, and compliance records, including retention periods, version control, and timely production during SEC examinations.
Exam Readiness & SEC Requests
Exam Readiness & SEC Requests
Exam Readiness
& SEC Requests
Preparation for common SEC exam requests, including scoping by time period, organizing evidence, and responding accurately and consistently.
Preparation for common SEC exam requests, including scoping by time period, organizing evidence, and responding accurately and consistently.
Preparation for common SEC exam requests, including scoping by time period, organizing evidence, and responding accurately and consistently.
Our Story
From Manual to Automated Compliance
From Manual to Automated Compliance
From Manual to Automated Compliance
Regly isn’t just another compliance software. It’s the result of over a decade of hands-on experience in the world of regulatory compliance.
Born out of InnReg, a compliance consulting and outsourcing firm trusted by 100+ fintech companies since 2013, Regly was built to simplify complex compliance challenges.
Not all software is built for compliance. We’ve created Regly based on actual data from years of hands-on experience with regulatory exams, compliance reviews, policies and procedures development, risk mitigation, and more.
This is compliance software built by compliance experts, designed to make compliance accessible to everyone.
Regly isn’t just another compliance software. It’s the result of over a decade of hands-on experience in the world of regulatory compliance.
Born out of InnReg, a compliance consulting and outsourcing firm trusted by 100+ fintech companies since 2013, Regly was built to simplify complex compliance challenges.
Not all software is built for compliance. We’ve created Regly based on actual data from years of hands-on experience with regulatory exams, compliance reviews, policies and procedures development, risk mitigation, and more.
This is compliance software built by compliance experts, designed to make compliance accessible to everyone.
Regly isn’t just another compliance software. It’s the result of over a decade of hands-on experience in the world of regulatory compliance.
Born out of InnReg, a compliance consulting and outsourcing firm trusted by 100+ fintech companies since 2013, Regly was built to simplify complex compliance challenges.
Not all software is built for compliance. We’ve created Regly based on actual data from years of hands-on experience with regulatory exams, compliance reviews, policies and procedures development, risk mitigation, and more.
This is compliance software built by compliance experts, designed to make compliance accessible to everyone.
100+
100+
100+
Fintech companies contributed real-world insights that shaped Regly’s processes
Fintech companies contributed real-world insights that shaped Regly’s processes
Fintech companies contributed real-world insights that shaped Regly’s processes
30+
30+
30+
Global regulatory experts built Regly with compliance and fincrime expertise
Global regulatory experts built Regly with compliance and fincrime expertise
Global regulatory experts built Regly with compliance and fincrime expertise
2+
2+
2+
Years of development focused on rigorous real-world testing before launch
Years of development focused on rigorous real-world testing before launch
Years of development focused on rigorous real-world testing before launch
Turn your checklist into action.
See how Regly transforms the tasks in this checklist into a streamlined, efficient, and automated process that gives your team control and clarity.
Built for compliance teams who want to scale without the manual overhead.
Subtitle
Link
Link
Link
Subtitle
Link
Link
Link
Subtitle
Link
Link
Link