∞
— Custom forms, no per-form fee
Forms & tasks · attestations · workflows
Build any form. Track it to done.
A form builder that handles any compliance workflow your firm runs (annual attestations, gift logs, political contribution reports, COI disclosures, code-of-ethics certs, custom intakes), plus the task queue that gets them assigned, completed, and archived without spreadsheet chasing.
— editing form
Annual Code of Ethics Attestation
Q1 2026 · all access persons
Full legal name *
Auto-filled from staff record
— short
Do you hold any reportable accounts outside the firm's named custodian list? *
— radio
Personal trading disclosure
+
Upload quarterly brokerage statement
— file · pdf/csv
Gifts & entertainment received this period
Itemized list — amount, source, date, business purpose
— table
Acknowledgment & signature *
— sign here
— e-sign
+Short text
+Date
+Logic
— assigned · 24 of 31
due Apr 30
24
Done
5
Open
2
Late
SC
Sarah Chen
submitted Apr 12 · 11:24 am
Done
JP
Jenny Park
opened Apr 14 · in progress
Open
DT
David Thompson
reminded Apr 18 · 9:00 am
Late
RK
Rachel Kim
first reminder sent Apr 15
Sent
18
— Field types · text, file, table, e-sign, dynamic data, more
3×
— Auto reminders at 7, 3, 0 days
100%
— Completed forms archived for exam
What firms actually run on it
Replace your spreadsheet, Google Form, and DocuSign stack.
Every recurring compliance form lives in one builder, branded to your firm, assigned automatically, and archived with the rest of your record.
— most common
Annual Code of Ethics Attestation
Multi-step workflow: personal trading, outside accounts, gifts & entertainment, political contributions. Employee data and accounts auto-populated. Conditional steps by role; brokerage statements parsed on upload.
Annual · all access persons · multi-step
— quarterly
Quarterly Personal Trading Report
Each access person uploads their statement; the form parses the report into trades and flags any against the watch list / restricted list before the CCO ever sees it.
Quarterly · pre-flagged by RegFin
— ad-hoc
Gifts & Entertainment Log
One-tap log from email or mobile: amount, source, business purpose, threshold flag.
Continuous
— pre-approval
Outside Business Activity
Pre-approval workflow with CCO sign-off and reportable-conflict checks built in.
As needed
— state & federal
Political Contribution Pre-Clearance
Pay-to-play 206(4)-5 lookbacks with covered-associate flagging.
Pre-clear · post-attest
— privacy
Privacy & Data Handling Annual
Reg S-P training acknowledgment with required-reading completion tracked.
Annual
— onboarding
New-Hire Compliance Onboarding
Multi-step onboarding flow: I-9 / FCRA / U4 acknowledgments, code-of-ethics initial cert, NDA, brokerage statement collection, and required-policy reading. Tasks auto-assign on the employee's start date and escalate if incomplete by day one.
Per hire · start-date triggered
— custom
Build your own
Cyber incident report, vendor intake, RFP, client onboarding: any form your firm needs, built in the drag-and-drop builder. No per-form fee, no engineering ticket.
No-code · unlimited forms
— ai-powered
AI-built forms & tasks
Describe what you need in plain language and the AI builds the form, fields, and recurring task. It researches your compliance policies first, then delivers a draft for review.
Natural language · draft-first
Dynamic data & multi-step workflows
Forms that already know your data.
Every form can pull live records from your platform (accounts, transactions, holdings, clients, staff) so respondents confirm data instead of re-typing it. Multi-step workflows break complex attestations into guided stages, and each step can filter its data based on what was selected in the step before.
Auto-populated fields
Employee name, title, registration status, and custodian accounts, pulled from staff and CRM records so forms stay short.
Cross-step data flow
Step 2 filters transactions to only the accounts selected in Step 1. No duplicate entry, no stale data.
Conditional branching
Steps show or hide based on prior answers: "if access person, show personal trading; if not, skip to attestation."
2
Accounts
3
Trading
4
Attest
Step 2 · Select reportable accounts
Auto-loaded from custodian feed
Schwab · ****4821
Reportable
Fidelity · ****7390
Reportable
Vanguard · ****1155
Exempt
Step 3 will load transactions only for the accounts you select here.
Create a quarterly gifts & entertainment attestation for all advisors. Include a threshold flag at $100.
Searched company gift & entertainment policy
Searched Rule 204A-1 requirements
Created form with 6 fields and $100 threshold flag
Scheduled quarterly task for all advisors
Quarterly G&E Attestation
Draft
autoEmployee name & title
tableGifts received — source, amount, date, purpose
$Total value⚑ flags > $100
textBusiness justification (if flagged)
readFirm G&E policy acknowledgment
signSignature & certification
Quarterly task · all advisors · reminders at 7, 3, 0 days
AI compliance consultant
Describe it. The AI builds it.
Tell the compliance consultant what you need in plain language. It searches your firm's policies and the relevant regulations, then creates the form (fields, conditional logic, threshold flags, required-reading sections) and schedules the recurring task. Everything lands as a draft for your review before it goes live.
Research-first: searches your company policies and regulatory documents before designing the form
Form + task together: creates the form structure and schedules the recurring task in one step
Draft-first: nothing goes live until a human reviews and publishes
The builder
Real form mechanics, not a survey tool.
RegFin's builder ships the field types compliance work actually needs: signed acknowledgments, multi-row tables, file upload with parsing, conditional logic, deadline-locked sections, and required-reading completion.
No engineering ticket, no per-form fee, no copy-pasting between Google Forms and your archive.
Short text + long textNames, statements, free-response. Required/optional, character limits, regex validation.
Date & date rangeCalendar pickers, business-day restrictions, lookback windows for pay-to-play.
Single & multi-selectRadio, checkbox, dropdown: values that route conditional logic for the rest of the form.
File uploadPDF, CSV, images. Auto-parsed for brokerage statements; size limits and virus scan built in.
Tables & line itemsMulti-row tables for trades, gifts, accounts, and vendors, exportable to CSV.
E-signatureIn-form signature capture, hashed and time-stamped to the rest of the submission.
Required readingAttach a policy PDF; scrolling-to-end and acknowledgment are tracked as separate events.
Conditional logic"If access person, then show personal trading section." Branching with no code.
Pre-clearance gatesSubmissions hold pending CCO approval; flagged submissions route to a second reviewer.
Numerical + currencyThreshold flags (e.g. gift > $100), automatic conversion, reportable-conflict detection.
Lookup & auto-fillPull from staff records, household accounts, and the vendor registry to keep forms short.
Confidential / privateSections visible only to specific reviewers; rest of the form is collaborative.
Dynamic dataPull live records from accounts, transactions, holdings, clients, or staff, pre-populated and filterable by step.
From assigned to archived
Tasks that finish themselves.
Auto-assigned + auto-reminded
Forms assign to the right access persons by role, location, or registration. Reminders go out at 7, 3, and 0 days, escalating to the CCO at the deadline.
Smart review queue
Submissions with thresholds tripped, conflicts detected, or files that didn't parse cleanly surface first. Clean submissions can auto-approve under your policy.
Evidence sealed on submit
Every completed form is WORM-archived with the version that was signed, the policy text that was acknowledged, and the reviewer's note, ready to export with one click.
Compliance calendar
An RIA compliance calendar that turns every deadline into an assigned task.
A compliance calendar is the running schedule of an RIA's recurring regulatory obligations: the filings, deliveries, attestations, and reviews that come due on a fixed cadence. RegFin's calendar holds those dates and, as each one approaches, opens the right form and assigns the task to the right person, with reminders, so a deadline can't quietly slip past.
Set any obligation to recur daily, weekly, monthly, quarterly, or yearly. The calendar view shows what's due and what's done; the tasks it creates land in the same queue as every other form, tracked to completion and archived for exam.
Form ADV annual amendment: Mar 31Opens ahead of the 90-days-after-fiscal-year-end deadline, assigns the update task to the CCO, and reminds until it's filed.
Brochure (ADV Part 2) delivery: Apr 30Within 120 days of fiscal year-end; creates the client-delivery task and tracks each acknowledgment.
Form 13F / 13G: quarterlyRecurs each quarter for firms over the reporting threshold, assigning the filing task with the deadline pre-set.
Reg S-P privacy notice: annualAnnual privacy-notice delivery and safeguards review, scheduled and assigned automatically.
Code of Ethics attestation: quarterly / annualPersonal-trading and conflict cycles open on cadence for every access person.
Annual 206(4)-7 review: annualSchedules the program review and rolls its findings into assigned remediation tasks.
FAQ
The questions a CCO actually asks.
Yes. That's most firms' starting point. Forms in RegFin handle the signature, the attachment, the threshold check, the conditional logic, and the archive in one place. The form is branded to your firm, lives behind SSO, and the completed record stays inside the rest of your compliance file rather than across three tools.
Access persons upload brokerage statements as PDF or CSV. RegFin parses the trades, flags any against your firm's watch list, restricted list, or holdings policy, and the CCO sees an already-triaged review queue rather than a stack of PDFs.
Yes. Anything you can sketch on paper (vendor intake, RFP, cyber incident report, client onboarding supplemental) can be built in the drag-and-drop builder. There's no per-form fee, no engineering cycle, and forms can be cloned and versioned.
Out of the box, reminders go at 7, 3, and 0 days before deadline, and the task escalates to the CCO once past due. The whole reminder cadence is configurable per form, and the CCO sees a single dashboard of late-task owners rather than chasing individually.
Yes. A completed Code of Ethics attestation links the access person, the policy version acknowledged, any uploaded statements, the reviewer's notes, and the parsed personal-trading entries. Pull the access person and you see everything they've signed; pull the policy and you see everyone who acknowledged each version.
Forms can require approval before they become final. A political contribution form holds at "pending" until CCO sign-off; an outside business activity request routes to two reviewers; a vendor intake auto-creates a vendor record only after the DDQ is signed. All of this is configurable in the builder.
Live in two weeks
Bring us your forms folder.
Whatever you're collecting on Google Forms, DocuSign, or spreadsheets, we'll show you what it looks like rebuilt in RegFin, with the tasks and archive wired in.
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