Let AI monitor these agencies for you
SEC
CFPB
OCC
FDIC
FRB
NCUA
FinCEN
FDA
SEC
CFPB
OCC
FDIC
FRB
NCUA
FinCEN
FDA
This is what your team actually sees — a clean summary in the tools you already use. No new software to learn. No dashboard to remember to check. Pick your channels and the intelligence finds you.
We build, monitor, and maintain your compliance automation on an ongoing basis. Your team gets daily briefs, instant alerts, and audit-ready logs — without managing a single workflow. Flat monthly rate, no surprises.
We design and build the entire system to your spec — agencies, routing rules, delivery channels, audit trail — then hand it over. Your team runs it in-house. The workflows, the logic, the data. All yours. No vendor lock-in, no login screen.
I kept hearing the same story from compliance officers — you're either drowning in manual scanning and hoping nothing slips through, or you're paying enterprise software prices for a platform that still needs a dedicated analyst to operate.
This is the third option. A custom-built regulatory monitoring system that runs daily, pulls from free government APIs, classifies everything with AI, and delivers actionable briefs directly to your team. No platform to log into, no per-seat licensing.
Want us to run it month-to-month? We will. Want us to build it and hand you the keys? We'll do that too.
Either way — every engagement starts with a feasibility call. We scope the agencies you need monitored, the compliance areas that matter to your charter, and how your team wants to receive alerts. Then we build to that spec.
We build, deploy, and maintain your regulatory monitoring automation. No software licenses. No lengthy implementation. No platform to learn. Running within two weeks.
Get in Touch →| Category | Detail |
|---|---|
| Industry | Registered investment advisers (RIAs), broker-dealers, hedge funds, family offices, community banks, fintech companies, payment processors |
| Problem It Solves | Compliance teams spending 2 to 3 hours per morning manually checking SEC, FINRA, CFTC, and state regulator websites — missing updates, missing deadlines, creating exam exposure |
| What It Monitors | SEC EDGAR filings and enforcement, FINRA regulatory notices and disciplinary actions, CFTC orders and no-action letters, OCC bulletins, FDIC guidance, Federal Reserve SR letters, FinCEN advisories, state securities regulator enforcement, CFPB enforcement actions |
| Data Sources | SEC.gov, FINRA.org, CFTC.gov, OCC.gov, FDIC.gov, Federal Reserve, FinCEN.gov, NASAA, state securities commission websites — all monitored daily |
| Alert Mechanism | Slack, email digest, internal compliance management system — routed by business line relevance and urgency classification |
| Monitoring Frequency | Daily at 5 AM — full scan before the compliance team's morning; same-day alerts for major enforcement actions |
| Who Receives Alerts | Chief Compliance Officer, General Counsel, business line heads — routed by topic relevance to each recipient |
| Regulatory Context | SEC examination deficiency rates increased in 2023 and 2024 as exam staff expanded; FINRA fines reached record levels in 2024; state regulators are increasingly asserting independent enforcement authority |
The system monitors all major US financial services regulators: the SEC (Securities and Exchange Commission) for RIA, broker-dealer, and investment company regulation; FINRA for broker-dealer member firm rules and enforcement; the CFTC (Commodity Futures Trading Commission) for derivatives and futures regulation; OCC (Office of the Comptroller of the Currency) for national bank oversight; FDIC for state non-member bank oversight; the Federal Reserve for bank holding company supervision; FinCEN for anti-money laundering and Bank Secrecy Act requirements; CFPB for consumer financial protection; and all 50 state securities regulators and banking departments in the firm's registration footprint.
The system is configured with the firm's regulatory profile at onboarding: registration types (RIA, broker-dealer, investment company, bank, etc.), business lines (investment advisory, wealth management, institutional trading, retail banking, etc.), product types (equities, fixed income, alternatives, derivatives, etc.), and client types (retail, institutional, accredited investors, etc.). Each detected regulatory update is evaluated against this profile to determine relevance. A FINRA rule amendment affecting equity research practices is not routed to a firm with no broker-dealer registration. A CFTC no-action letter on swaps reporting is not routed to an RIA with no derivatives activity.
An enforcement action is a formal proceeding by a regulator against a specific firm or individual — it results in fines, disgorgement, censure, or license revocation. Enforcement actions are important to monitor because they reveal regulator priorities and frequently cite violations that other firms have not yet remediated. Guidance is a statement by a regulator explaining how existing rules apply to specific situations — risk alerts, no-action letters, FAQ documents, and examination priorities reports. Both types require monitoring because guidance today often becomes the basis for enforcement tomorrow.
State securities regulators — operating under NASAA (North American Securities Administrators Association) — conduct their own examinations and enforce their own state securities laws independently of the SEC and FINRA. The system monitors state regulators in the states where the firm is registered, plus any states where a majority of clients are located. State enforcement actions, rule amendments, and examination priority announcements are included in the daily scan. The specific states monitored are configured at onboarding and updated when new state registrations are added.
A FINRA Regulatory Notice is an official communication from FINRA to member firms explaining new rules, rule amendments, interpretive guidance, or examination priorities. Regulatory Notices often have specific compliance dates and may require firms to update written supervisory procedures, conduct training, or modify system configurations. Missing a Regulatory Notice with a compliance deadline is a common FINRA examination finding — the system monitors the FINRA.org Regulatory Notice feed daily and routes new notices to the compliance officer with the compliance date and affected business line identified.
The base system covers all US federal and state financial regulators. International regulator monitoring — FCA, ESMA, MAS, ASIC, FINMA — can be added as an extension for firms with international registrations or clients. International regulatory monitoring follows the same architecture: daily scans of the relevant regulator websites, AI classification by relevance to the firm's international business lines, and routing to the international compliance team or external counsel.
When a major enforcement action is published — an SEC fraud case against an RIA, a significant FINRA fine, a CFTC enforcement order — the system delivers an immediate alert (not waiting for the 5 AM daily digest) to the CCO and General Counsel. The alert includes a plain-language summary of the action, the violations cited, the penalty imposed, and the compliance implications for the firm. This allows senior leadership to assess whether similar practices exist at the firm and initiate a voluntary review before examination staff arrives.
Registration types, business lines, product types, client types, and state registration footprint configured so the AI knows what to classify as relevant.
n8n triggers a full scan of all monitored federal and state regulator websites. Each source is checked for new publications since the previous scan.
Each detected update is analyzed against the firm's profile. Relevance score, urgency level, and routing assignment produced for each item.
Major enforcement actions and rule changes with near-term compliance deadlines trigger immediate Slack and email alerts to CCO and General Counsel.
Complete classified digest of all regulatory activity delivered by 7 AM — sorted by urgency and business line, with direct links to source documents.
Every detected item, its classification, routing, and delivery is logged with timestamps for audit trail and regulatory examination preparation.