AI scans your client portfolio against current SEC suitability rules, Regulation Best Interest standards, and concentration risk thresholds — flagging every gap before your next exam.
Regulatory examiners from the SEC's Office of Compliance Inspections and Examinations (OCIE) — now the Division of Examinations — focus heavily on suitability and best interest obligations during routine RIA exams. A single flagged portfolio can trigger a full books-and-records examination. This check gets ahead of that.
Our AI reviews your submitted portfolio data against three core regulatory frameworks:
Checks broker-dealer recommendations against the SEC's Reg BI standard — care obligation, conflict of interest, and disclosure requirements under Exchange Act Rule 15l-1.
Reviews portfolio construction against the fiduciary duty standard under the Investment Advisers Act of 1940, including the SEC's 2019 fiduciary interpretation.
Identifies position concentrations that exceed commonly scrutinized thresholds — flagging single-issuer, sector, and illiquid asset exposure relative to client risk profile.
Cross-references holdings against required conflict disclosures under Form ADV Part 2A — flagging compensation arrangements and undisclosed relationships that examiners commonly cite.
Regulatory References (SEC.gov)
• Exchange Act Rule 15l-1 — Regulation Best Interest (June 2019)
• Commission Interpretation: Investment Advisers Act Fiduciary Duty (2019)
Within 24 hours of submission you receive a compliance scorecard and detailed report:
The output is designed to be placed directly in your compliance files — formatted for easy review by your CCO, outside compliance consultant, or SEC examiners.
Submit your portfolio now. Results delivered within 24 hours.
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