Home Features RIA Compliance Software Archiving iMessage Archiving Trade Monitoring Vendor Due Diligence Marketing Reviews Content Library Form ADV Forms & Tasks AI Consultant Reporting Documents For Consultants Pricing Blog About Sign in Request demo

Let your AI agents do compliance.

Connect the AI assistant your team already uses (Claude, ChatGPT, Cursor) to your firm's compliance records. Unless your firm turns it off, each change is shown as a preview and runs only once approved, and every call is logged.

It looks up clients, alerts and policies, searches the regulations, files marketing reviews and creates tasks for you, all under your own permissions. Everyday lookups get an answer from your firm's own records, and changes land in the same audit trail as the web app.

Book a demo →
Claude Desktop · RegFin MCP
# Avery asks her assistant, in plain English You: Summarize the Henderson family's open trade exceptions and the comms that touched them this quarter.   # the assistant calls RegFin's MCP tools for her → get_household_details(household_name="Henderson") ✓ → search_trade_alerts(status="active") ✓ 3 open → search_archived_communications(query="Henderson") ✓ 18 comms   Assistant: 3 open exceptions — 2 high (TSLA concentration, net-margin leverage), 1 medium (cash drag). 18 related comms; an Apr-9 advisor email pre-discloses the TSLA add. Every record cited.   every tool call logged · AI Activity
Bring your own AI

Hook it up to
whichever AI you use.

RegFin runs a standard Model Context Protocol server. Any MCP-compatible assistant connects with your RegFin sign-in. No lock-in to one vendor's model, no custom integration to maintain.

Speaks MCP with Claude Cursor ChatGPT any MCP client
~/.cursor/mcp.json Connected
// add RegFin · one block, then sign in
{
"mcpServers": {
"regfin": {
"url": "https://app.regfin.com/mcp"
// you approve the scopes on the RegFin sign-in page,
// e.g. mcp:regs:read, mcp:forms_tasks:write
}
}
}
session ready · 2 areas of the 71-tool catalog · 6 resources
→ search_compliance_documents("Form PF deadline")
logged · read · acting as the CCO
← 3 sections · 17 CFR §279.9
→ create_task("Form PF filing prep")
logged · write · acting as the CCO
← preview returned · runs once you approve
⌘ MCP Server

Claude, ChatGPT, Cursor, and any MCP client

Add RegFin as a Model Context Protocol server. Your assistant can search the archive and the regulations, read records, submit marketing reviews, and create tasks and forms, all under your own sign-in, all logged.

  • →Any model: Claude, ChatGPT, Cursor, or any assistant that speaks MCP. Switch models any time.
  • →71 tools: search, read, create, and update across clients, trading, forms and tasks, governance, and exams. A connection sees only the tools for the areas you approve.
  • →Resources: your forms, tasks, deadline calendar, policy library, open alerts, and AI conversations, readable as MCP resources.
  • →Your permissions: every call acts as you and gets your access, within the areas you approved when you connected.
◆ Why it matters

A compliance copilot, on your terms

Half the questions a CCO answers in a day are simple lookups with a regulatory answer. Let the AI your team already uses handle those, grounded in your records, not the open internet.

  • →No new app to learn: it lives inside the assistant your team already opens.
  • →Grounded answers: the assistant answers from your archive, policies, and records, and regulatory search returns the citation.
  • →Supervised: every tool call is recorded in your firm's AI Activity trail, so your CCO can review what the assistant did.
  • →No vendor lock-in: swap or add models without touching your compliance setup.

A working set, not a view-only client.

search_compliance_documents(query)

Search the regulations

SEC, FINRA, NASAA and state rules (for the states your firm is registered in), returned with the citation. Your firm's own documents are searched with search_company_documents.

get_client_details(client_name)

Open a client record

Contact details, advisors, accounts, KYC completeness, annual review status, and pending tasks for a client you can see.

submit_marketing_review

File a marketing review

Submit ad copy into your firm's marketing review queue. Pair it with analyze_marketing_content to pre-screen it first.

create_task(name)

Assign compliance work

Create a task, attach a form, set how often it repeats, and assign it by person or role.

search_trade_alerts

Find trade alerts

Filter trade-monitoring alerts by status, severity, or type to see what still needs a decision.

get_vendor_due_diligence(vendor_name)

Check a vendor

A vendor's risk tier, due-diligence history, questionnaires, and next review date.

exam_readiness_analysis

Check exam readiness

Score your Exam Checklist, area by area, and record the gaps as findings. Or run a mock exam with mock_exam.

create_insight_export(report)

Export a report

Alerts, task completions, form submissions, preclearance requests, or escalations, as CSV or PDF.

search_audit_trail(query)

Search the audit trail

What was done, by whom, and when, returned for the assistant to summarize.

Real recipes

What people actually
ask their AI to do.

The same assistant your team already opens. Behind each prompt, RegFin's MCP tools do the work across your compliance program: bound to your identity, grounded in your firm's records, and logged for your next SEC exam.

01

Summarize a household

Advisor · Claude
The ask

"Summarize the Henderson household's emails, texts, and flagged trades over the last 90 days."

MCP tools called
→ get_household_details(household_name="Henderson")
→ search_archived_communications(query="Henderson")
→ search_trade_alerts(query="Henderson")
← 18 messages · 3 trade alerts · 17 CFR §275.204-2
02

Answer a reg question, grounded

CCO · Any AI
The ask

"Does our gifts-and-entertainment policy cover this $300 client dinner?"

MCP tools called
→ search_policy_documents("gifts and entertainment")
→ search_compliance_documents("client entertainment")
← answer · policy §4.2 + 17 CFR §275.204A-1
03

Review the week's personal trading

Compliance · ChatGPT
The ask

"Which personal-trading alerts are still open this week, and which securities are on our restricted list?"

MCP tools called
→ search_trade_alerts(status="active")
→ search_excluded_securities(…)
← 2 open alerts · restricted list · 17 CFR §275.204A-1
04

Clear an ad under the Marketing Rule

Marketing · Any AI
The ask

"Pre-screen this Q3 LinkedIn post against the Marketing Rule and send it to our review queue."

MCP tools called
→ analyze_marketing_content(content="…")
→ submit_marketing_review(title="Q3 LinkedIn post")
← pre-screened · in the review queue · 17 CFR §275.206(4)-1
05

Check in on a client firm

Consultant · Claude
The ask

"In Acme Advisory, which vendors are overdue for review, and what tasks are still open?"

MCP tools called
→ list_managed_firms()
→ search_vendors(firm="…acme id…")
→ query_task_completions(firm="…acme id…")
← 2 vendors overdue · 5 open tasks · logged in Acme's AI Activity
06

Get ready for an exam

Compliance · Any AI
The ask

"How ready are we for an SEC exam? Score the checklist and tell me the biggest gaps first."

MCP tools called
→ exam_readiness_analysis(analysis_type="priority_scan")
← readiness score · gaps ranked · recorded as findings

One config block, any MCP client.

Nothing for you to install. Add RegFin once, then sign in with your existing RegFin account and choose what the assistant can reach.

Claude
Cursor
Any MCP client
# Claude: Settings > Connectors > Add custom connector
url https://app.regfin.com/mcp

# Claude Code
claude mcp add --transport http regfin-compliance https://app.regfin.com/mcp
# in ~/.cursor/mcp.json
{ "mcpServers": { "regfin-compliance": { "url": "https://app.regfin.com/mcp" } } }
# point any MCP-compatible client at the server
endpoint https://app.regfin.com/mcp
auth OAuth 2.1, sign in with your RegFin account

An agent can't do what you can't.

The MCP server acts on your behalf with your permissions. Every call goes through the same permission checks as the web app, and every change lands in the same audit trail.

Your permissions, nothing more

The assistant gets exactly the access you have in the web app, limited further to the areas you approved when you connected. An advisor's assistant has an advisor's access, never the CCO's.

Changes wait for approval

By default, when the assistant wants to change a record, RegFin returns a preview first. The change runs only once it is approved, and the approval covers that exact change for 10 minutes.

Supervised in AI Activity

Every tool call is recorded in your firm's AI Activity trail: whose sign-in it used, which tool, read or write, and whether a change was approved. Kept for six years.

Access you choose, area by area

On the RegFin sign-in page you approve each area (client records, trading, forms and tasks, governance, and more) for reading or for changes. Access tokens last 15 minutes and renew while you use them. Each person can disconnect their own connections in Settings. Your CCO can see every connection, including your consultant's, and disconnect any your staff have made; your consultant's is managed by their consultancy. Every call a consultant makes inside your firm is recorded in your AI Activity trail.

Rate limits on every connection

Each connection is limited to 120 requests a minute, so a looping assistant cannot flood your records.

A record, not a copy

For each tool call, the AI Activity trail keeps a short summary of the arguments, never the results. Sensitive fields such as account numbers and tax IDs are redacted outright.

Common questions.

Compliance ops, first. The MCP server turns the AI assistant your team already uses into a compliance copilot. An advisor or analyst running Claude, ChatGPT, or Cursor with RegFin connected gets answers from the firm's own records for everyday lookups, with no new app to learn. The API page covers connecting your own systems.
The REST API is for connecting systems: your own software reads RegFin records, and creates or updates clients, with an API token. MCP is for AI assistants: Claude (or another assistant) works with a person's own RegFin sign-in to help that person. Different audiences, different sign-in. Both are available.
It can call the wrong tool the same way a person can click the wrong button, so we treat it the same way. By default a change is previewed and runs only once approved, every call is recorded in your firm's AI Activity trail, and the assistant works with the person's own permissions. It can't do anything the person couldn't do in the web app. The one broader permission is the AI compliance agent, which you grant separately on the sign-in page: it hands requests to RegFin's own agent, which can make changes across areas without a separate preview. A consultant who uses the agent inside a client firm that requires approval gets answers only; the agent makes no changes there.
Yes. A change an assistant makes lands in the same audit trail as the web app, next to an entry recording that the change was approved and under whose sign-in, and your firm's AI Activity trail keeps each tool call for six years. More provenance is better, not worse, in an exam.
Yes. Once connected, your assistant lists every tool it can use, with what each one does and whether it reads or changes records. Ask us and we'll send the full list for your security team to review first.
Yes. RegFin's REST API is documented, so you can build your own MCP layer that combines RegFin with your other systems (custodian feed, OMS, internal CRM). Reach out and we'll send the API guide.
Yes. A consultant connects once with their own sign-in. The assistant lists the firms the consultancy manages and works inside one firm per request, with that firm's records and approval rules. Inside a firm that requires approval, RegFin's compliance agent only looks things up; changes go through the individual tools, which ask for approval. Each call is recorded in that firm's AI Activity trail under the consultant's name, and with no firm named it works only in the consultancy's own records.

Give your AI the compliance record.

See the assistant your team already uses connected to a sample firm's records: grounded, governed, and audited from the first question.

Book a demo →