Greenboard
AI-based compliance platform for RIAs, broker-dealers and funds: archiving, marketing review, trade and staff compliance
- RIAs
- Broker-dealers
- Asset managers
Compliance & riskCustom quote
RegVerse
AI regulatory change tracking and compliance workflow platform for RIAs and broker-dealers, part of SurgeONE.ai
Part of a larger companyregverse.comNot yet confirmed by the company
What it does
RegVerse is a compliance platform for RIAs and broker-dealers that combines AI-driven regulatory tracking with access to human compliance staff. It is now sold as part of SurgeONE.ai, the compliance, cybersecurity and data product line of venture studio Surge Ventures.
Its Avery assistant monitors more than 100 state and federal sources, including the SEC, FINRA and DOL, summarizes rule changes, maps them to the firm's obligations and turns them into checklists, action plans and policy templates. Firms get a personalized compliance calendar, alerts, dashboards with audit trails and an AI chat assistant. Higher packages add review of filings and marketing materials, Form ADV and registration services, policy gap analysis, annual 206(4)-7 reviews and mock exams.
RegVerse was incubated within Surge Ventures and launched in October 2023. Packages are named Guardian Lite, Navigator Pro and Commander Elite; prices are given on request.
Best for
- Serves
- RIAs, Broker-dealers
Features
- Regulatory change tracking
- AI rule summaries and action plans
- Personalized compliance calendar
- Compliance dashboards and audit trails
- Marketing material and filing review
- Form ADV and registration services
- Mock exam simulation
Pricing and deployment
- Pricing model
- Custom quote
- Deployment
- Cloud
Coverage from The Daily Network
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