Workflow coverage
Where the compliance tech market has gaps.
R1Compliance program & annual review
RIA workflows · Advisers Act Rule 206(4)-7; Rule 204-2(a)(17)
0 full0 partialR2Form ADV, brochure delivery & IARD renewal
RIA workflows · Rules 204-1, 204-3
0 full0 partialR3Custody rule: surprise exam, fund audits, inadvertent custody screening
RIA workflows · Rule 206(4)-2
0 full0 partialR4Marketing Rule review, substantiation & performance checks
RIA workflows · Rule 206(4)-1; Rule 204-2(a)(11)
0 full0 partialR5Code of ethics: holdings & transaction reports, pre-clearance
RIA workflows · Rule 204A-1; Section 204A
0 full0 partialR6Pay-to-play contribution pre-clearance & logging
RIA workflows · Rule 206(4)-5
0 full0 partialR7Proxy voting policies & vote records
RIA workflows · Rule 206(4)-6
0 full0 partialR8Conflicts inventory, fee billing reconciliation & cash sweep review
RIA workflows · Sections 206(1)-(2); Rule 206(4)-7
0 full0 partialR9Principal & agency cross trade consent and valuation
RIA workflows · Section 206(3)
0 full0 partialR10Best execution, trade allocation & trade error review
RIA workflows · Fiduciary duty; Section 28(e)
0 full0 partialR11Form PF preparation & filing
RIA workflows · Rule 204(b)-1
0 full0 partialR12Section 13 reporting: 13F, 13H, 13D/G, N-PX
RIA workflows · Rules 13f-1, 13h-1, 13d-1, 14Ad-1
0 full0 partialR13Form D & bad-actor checks
RIA workflows · Reg D Rules 503, 506(d)
0 full0 partialR14CFTC/NFA exemption affirmations & FBAR
RIA workflows · CFTC 4.13(a)(3), 4.14(a)(8); FBAR
0 full0 partialR15Adviser AML/CFT program readiness (effective Jan 1, 2028)
RIA workflows · FinCEN IA AML/CFT rule
0 full0 partialB1Written supervisory procedures & supervision
Broker-dealer workflows · FINRA 3110
0 full0 partialB2Branch & office inspections (incl. remote inspection pilot)
Broker-dealer workflows · FINRA 3110(c), 3110.18, 3110.19
0 full0 partialB3Supervisory control testing & annual report
Broker-dealer workflows · FINRA 3120
0 full0 partialB4CEO certification & CCO meeting
Broker-dealer workflows · FINRA 3130
0 full0 partialB5AML program, SAR filing & independent test
Broker-dealer workflows · FINRA 3310; 31 CFR 1023
0 full0 partialB6Regulation Best Interest documentation
Broker-dealer workflows · Exchange Act Rule 15l-1; 17a-3(a)(35)
0 full0 partialB7FOCUS reports & annual audited financials
Broker-dealer workflows · Rules 17a-5, 17a-11
0 full0 partialB8Net capital & customer protection computations
Broker-dealer workflows · Rules 15c3-1, 15c3-3
0 full0 partialB9Market access controls & annual certification
Broker-dealer workflows · Rule 15c3-5
0 full0 partialB10Electronic recordkeeping (WORM / audit trail, designated third party)
Broker-dealer workflows · Rules 17a-3, 17a-4
0 full0 partialB11Regulatory event reporting: 4530, U4/U5, Form BD
Broker-dealer workflows · FINRA 4530, 4517; Forms U4/U5/BD
0 full0 partialB12Continuing education: Regulatory Element & Firm Element
Broker-dealer workflows · FINRA 1240
0 full0 partialB13Outside business activities & private securities transactions (3270/3280 → 3290)
Broker-dealer workflows · FINRA 3270, 3280, 3290
0 full0 partialB14Gifts & entertainment logging
Broker-dealer workflows · FINRA 3220
0 full0 partialB15Communications with the public: principal approval & Ad Reg filing
Broker-dealer workflows · FINRA 2210
0 full0 partialB16Consolidated Audit Trail reporting
Broker-dealer workflows · FINRA 6800 Series
0 full0 partialB17Best execution review & Rule 606 reports
Broker-dealer workflows · FINRA 5310; Rule 606
0 full0 partialB18Reg SHO, short interest & trade reporting (TRACE)
Broker-dealer workflows · Reg SHO; FINRA 4560, 6730
0 full0 partialB19Margin administration (incl. intraday margin rule)
Broker-dealer workflows · FINRA 4210
0 full0 partialB20Business continuity plan & annual test
Broker-dealer workflows · FINRA 4370
0 full0 partialB21KYC, suitability, trusted contact & senior protection holds
Broker-dealer workflows · FINRA 2090, 2111, 2165, 4512
0 full0 partialB22Private placement & corporate financing filings
Broker-dealer workflows · FINRA 5110, 5122, 5123
0 full0 partialB23T+1 settlement allocation/affirmation records
Broker-dealer workflows · Rules 15c6-1, 15c6-2
0 full0 partialS1Reg S-P: safeguards, incident response, 30-day customer notice, 72-hour vendor notice
Shared workflows · Reg S-P (17 CFR 248 Subpart A)
0 full0 partialS2Reg S-ID identity theft program & periodic report
Shared workflows · Reg S-ID (17 CFR 248 Subpart C)
0 full0 partialS3Form CRS delivery tracking & updates
Shared workflows · Advisers Act Rule 204-5; Exchange Act Rule 17a-14
0 full0 partialS4Business communications capture, archiving & off-channel surveillance
Shared workflows · Rule 204-2(a)(7); Rule 17a-4(b)(4); FINRA 3110(b)(4)
0 full0 partialS5Vendor & third-party oversight (service provider due diligence)
Shared workflows · Reg S-P 248.30(a)(5); Rule 206(4)-7; FINRA 3110, 4370
0 full0 partialS6Cybersecurity governance, access controls & testing
Shared workflows · Rule 206(4)-7; Reg S-P; FINRA 3110, 4370
0 full0 partialS7Whistleblower protection: agreement template review
Shared workflows · Exchange Act Rule 21F-17(a)
0 full0 partialS8Compliance training & attestations
Shared workflows · Rule 206(4)-7; FINRA 1240, 3110(a)(7), 3310
0 full0 partialS9Business continuity (advisers)
Shared workflows · Rule 206(4)-7 policy area
0 full0 partialM1Risk assessment & compliance testing program (transactional/forensic)
Program-level workflows · IA-2204; FINRA 3120
0 full0 partialM2Regulatory change management
Program-level workflows · Program-level expectation
0 full0 partialM3Compliance calendar & deadline tracking
Program-level workflows · Program-level expectation
0 full0 partialM4Exam management & evidence production (24-hour record availability)
Program-level workflows · SEC Exam Handbook (Oct 1, 2026)
0 full0 partialM5AI governance: AI-use inventory, policies, monitoring
Program-level workflows · SEC FY2026 priorities; FINRA 2026 Oversight Report
0 full0 partialM6Management & board reporting
Program-level workflows · IA-2204; FINRA 3130
0 full0 partial
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