Compliance Software Built for Registered Investment Advisors
Compliance Software Built for Registered Investment Advisors
Compliance Software Built for Registered Investment Advisors
Centralize compliance oversight and produce exam-ready evidence in one place.
Designed for Registered Investment Advisers preparing for SEC
and state examinations.
Centralize compliance oversight and produce exam-ready evidence in one place.
Designed for Registered Investment Advisers preparing for SEC
and state examinations.
Centralize compliance oversight and produce exam-ready evidence in one place.
Designed for Registered Investment Advisers preparing for SEC
and state examinations.
✔ Supports SEC Marketing Rule (Rule 206(4)-1)
✔ Aligns with SEC books and records requirements (Rule 204-2)
✔ Built by compliance experts
✔ Supports SEC Marketing Rule (Rule 206(4)-1)
✔ Aligns with SEC books and records requirements (Rule 204-2)
✔ Built by compliance experts
✔ Supports SEC Marketing Rule (Rule 206(4)-1)
✔ Aligns with SEC books and records requirements (Rule 204-2)
✔ Built by compliance experts
As seen on:
As seen on:
As seen on:
Solutions
A System of Record for RIA Compliance
Marketing Compliance
AI-Powered
Review marketing materials with AI that assists reviewers by identifying common compliance risks found in historical cases. Streamline approvals and manage workflows all in one place for faster, more accurate reviews.
Marketing Compliance
AI-Powered
Review marketing materials with AI that assists reviewers by identifying common compliance risks found in historical cases. Streamline approvals and manage workflows all in one place for faster, more accurate reviews.
Benefits
The Compliance Management Platform RIAs Rely On
Regly is built for Registered Investment Advisers who need to demonstrate how compliance operates in practice, not just how it is written.
Designed around real SEC examination workflows, Regly helps RIAs move beyond spreadsheets and shared folders to a single, consistent system of record.
Marketing & Communications Review
Review, approve, and retain marketing materials with clear, exam-ready evidence.
Marketing & Communications Review
Review, approve, and retain marketing materials with clear, exam-ready evidence.
Marketing & Communications Review
Review, approve, and retain marketing materials with clear, exam-ready evidence.
Supervision & Firm Oversight
Document reviews, approvals, and escalation decisions across advisory activities and staff.
Supervision & Firm Oversight
Document reviews, approvals, and escalation decisions across advisory activities and staff.
Supervision & Firm Oversight
Document reviews, approvals, and escalation decisions across advisory activities and staff.
Built by Compliance Experts
Designed by compliance professionals who understand how SEC examinations work.
Built by Compliance Experts
Designed by compliance professionals who understand how SEC examinations work.
Built by Compliance Experts
Designed by compliance professionals who understand how SEC examinations work.
Say Goodbye to Spreadsheets and Scattered Files
Say Goodbye to Spreadsheets and Scattered Files
Say Goodbye to Spreadsheets and Scattered Files
Managing compliance shouldn’t feel like a juggling act. With Regly Compliance, you can replace chaotic spreadsheets, disorganized files, and manual tracking with a single, centralized platform.
Every workflow, from marketing reviews to vendor oversight, is streamlined and accessible in one compliance management software. No more searching for lost documents or chasing down team members, it’s compliance management made to be simple and efficient.
Managing compliance shouldn’t feel like a juggling act. With Regly Compliance, you can replace chaotic spreadsheets, disorganized files, and manual tracking with a single, centralized platform.
Every workflow, from marketing reviews to vendor oversight, is streamlined and accessible in one compliance management software. No more searching for lost documents or chasing down team members, it’s compliance management made to be simple and efficient.
Managing compliance shouldn’t feel like a juggling act. With Regly Compliance, you can replace chaotic spreadsheets, disorganized files, and manual tracking with a single, centralized platform.
Every workflow, from marketing reviews to vendor oversight, is streamlined and accessible in one compliance management software. No more searching for lost documents or chasing down team members, it’s compliance management made to be simple and efficient.
Future-Proofing Compliance Solutions
Future-Proofing Compliance Solutions
Future-Proofing Compliance Solutions
Compliance is evolving, and so is Regly. Our compliance management software is designed to grow with your business, using elastic search and modular features to adapt to the latest technological advancements.
Whether it's scaling with your team or incorporating new regulations, Regly helps your compliance solutions remain effective, adaptable, and ready for the future.
Compliance is evolving, and so is Regly. Our compliance management software is designed to grow with your business, using elastic search and modular features to adapt to the latest technological advancements.
Whether it's scaling with your team or incorporating new regulations, Regly helps your compliance solutions remain effective, adaptable, and ready for the future.
Compliance is evolving, and so is Regly. Our compliance management software is designed to grow with your business, using elastic search and modular features to adapt to the latest technological advancements.
Whether it's scaling with your team or incorporating new regulations, Regly helps your compliance solutions remain effective, adaptable, and ready for the future.
Checklist
SEC Exam Readiness Checklist
Download the SEC Exam Readiness Checklist, a practical guide for Registered Investment Advisers (RIAs) to assess exam readiness beyond written policies.
Checklist
SEC Exam Readiness Checklist
Download the SEC Exam Readiness Checklist, a practical guide for Registered Investment Advisers (RIAs) to assess exam readiness beyond written policies.
Checklist
SEC Exam Readiness Checklist
Download the SEC Exam Readiness Checklist, a practical guide for Registered Investment Advisers (RIAs) to assess exam readiness beyond written policies.
Our Story
Why Regly?
Why Regly?
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+
Fintech companies contributed real-world insights that shaped Regly’s processes
Fintech companies contributed real-world insights that shaped Regly’s processes
30+
30+
Global regulatory experts built Regly with compliance and fincrime expertise
Global regulatory experts built Regly with compliance and fincrime expertise
2+
2+
Years of development focused on rigorous real-world testing before launch
Years of development focused on rigorous real-world testing before launch
Solutions
Compliance Tools Designed for
Broker-Dealers
Marketing Compliance
AI-Powered
Review marketing materials with AI that assists reviewers by identifying common compliance risks found in historical cases. Streamline approvals and manage workflows all in one place for faster, more accurate reviews.
Marketing Compliance
AI-Powered
Review marketing materials with AI that assists reviewers by identifying common compliance risks found in historical cases. Streamline approvals and manage workflows all in one place for faster, more accurate reviews.
Why RIAs Need a System of Record
SEC examinations require RIAs to produce clear, consistent records across marketing, supervision, policies, and oversight. How easily your firm can retrieve and explain this evidence often shapes the scope and outcome of the exam.
Without a System
✕ Records spread across email, folders, and spreadsheets ✕ Reviews and approvals are hard to reconstruct ✕ Context behind decisions is lost over time ✕ Exam requests require manual searches Inconsistent documentation across teams and vendors
Without a System
✕ Records spread across email, folders, and spreadsheets ✕ Reviews and approvals are hard to reconstruct ✕ Context behind decisions is lost over time ✕ Exam requests require manual searches Inconsistent documentation across teams and vendors
With Regly
✔️ Compliance activity documented as it happens ✔️ Reviews, approvals, and oversight in one system ✔️ Decisions tied to clear supporting evidence ✔️ Records organized and easy to retrieve for exams ✔️ Consistent, exam-ready documentation over time
With Regly
✔️ Compliance activity documented as it happens ✔️ Reviews, approvals, and oversight in one system ✔️ Decisions tied to clear supporting evidence ✔️ Records organized and easy to retrieve for exams ✔️ Consistent, exam-ready documentation over time
Our Story
Why Regly?
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+
Fintech companies contributed real-world insights that shaped Regly’s processes
30+
Global regulatory experts built Regly with compliance and fincrime expertise
2+
Years of development focused on rigorous real-world testing before launch
The Reality of ria Compliance
Why RIAs Need a System of Record
SEC examinations require RIAs to produce clear, consistent records across marketing, supervision, policies, and oversight. How easily your firm can retrieve and explain this evidence often shapes the scope and outcome of the exam.
Without a System
✕ Records spread across email, folders, and spreadsheets ✕ Reviews and approvals are hard to reconstruct ✕ Context behind decisions is lost over time ✕ Exam requests require manual searches Inconsistent documentation across teams and vendors
Without a System
✕ Records spread across email, folders, and spreadsheets ✕ Reviews and approvals are hard to reconstruct ✕ Context behind decisions is lost over time ✕ Exam requests require manual searches Inconsistent documentation across teams and vendors
With Regly
✔️ Compliance activity documented as it happens ✔️ Reviews, approvals, and oversight in one system ✔️ Decisions tied to clear supporting evidence ✔️ Records organized and easy to retrieve for exams ✔️ Consistent, exam-ready documentation over time
With Regly
✔️ Compliance activity documented as it happens ✔️ Reviews, approvals, and oversight in one system ✔️ Decisions tied to clear supporting evidence ✔️ Records organized and easy to retrieve for exams ✔️ Consistent, exam-ready documentation over time
How Regly Aligns Your Program With SEC Expectations
See how Regly supports the core requirements SEC examiners review.
Broker-dealers must prove their policies are enforced, supervised, and audit-ready under SEC and FINRA rules.
Regly connects policies, oversight, and evidence in one system, turning written requirements into documented, exam-ready execution.
Regulation
SEC Marketing Rule (206(4)-1)
Books and Records Requirements
Compliance Program Rule (206(4)-7)
Fiduciary Duty
What Regulators Expect
Substantiated, reviewed, and approved marketing materials
Accurate, accessible, retained records
Ongoing implementation and monitoring
Consistent, documented oversight
How Regly Supports Your Program
Structured review workflows with documented approvals and evidence
Centralized record creation and searchable storage
Connected policies, oversight activity, and audit trails
Evidence of reviews, decisions, and enforcement
Schedule a Demo Today
See how Regly supports real broker-dealer workflows, from advertising review to exam response. Our team will walk you through how firms use Regly as a centralized compliance system to stay organized, consistent, and exam-ready.