8
— Built-in report types, plus exam binders
Reporting · for CCOs, boards, examiners
Every report your program already owes.
The CCO dashboard, the board report, the exam packet, the annual review: pre-built, current the moment you open them, and exportable in the formats each audience expects. Stop reverse-engineering them every quarter.
— attestations current
98.6%
▲ 1.4pp vs Q4
— marketing reviews open
7 / 142 ytd
median 3.1h turnaround
— trade alerts (30d)
12
9 cleared · 3 escalated
— vendor DDQ on time
100%
23 of 23 · 0 overdue
— Compliance events · trailing 12 weeks
Reviews
Attestations
Alerts
— recent activity
+ 47 this week
Q1 2026 board report generated · 8 pages · auto-current
Today
Code of Ethics quarterly attestation cycle closed · 98.6% complete
Apr 14
Annual review · 12 days remaining for 3 pending advisor disclosures
Apr 12
0
— Manual data entry · all pulled from the record
3
— Export formats: PDF · CSV · workpaper
100%
— Citations linked back to source events
The CCO dashboard
The compliance dashboard your CCO opens every morning.
Compliance reporting software turns an RIA's compliance activity (attestations, marketing reviews, trade alerts, vendor reviews) into the dashboards and reports a CCO, board, and SEC examiner each require. RegFin keeps all three current from one record, so the morning check is a glance, not a quarter-end scramble.
Three audiences · same data
Reports for the three people who ask the most.
The CCO who runs the program. The board that oversees it. The examiner who tests it. Each needs the same evidence in a different shape. RegFin renders all three.
— 01 · The CCO
Daily operations & program health
What's open, what's overdue, where the patterns are. The dashboard runs the day; the trend views run the quarter.
Live CCO dashboard
Open-items queue
Trend reports
Advisor-level scorecard
SLA & turnaround tracking
— 02 · The Board
Quarterly oversight package
What the board needs to discharge oversight: program summary, material events, vendor risk, exam posture, attestations of the program itself.
Quarterly board report
Annual 206(4)-7 review summary
Vendor & third-party risk roll-up
Material events log
CCO certifications
— 03 · The Examiner
Exam-ready evidence package
Every list, log, and policy the SEC asks for, pre-staged. When the deficiency letter arrives, you've already lived in the answer.
Document request packet
Books-and-records inventory
Communications archive export
Trade event & alert log
Policies & procedures with versions
8 report types + exam binders
A library, not a blank canvas.
Pick from the catalog or build your own. Either way, the data is already there. The report is the view, not the work.
— Featured · Board
Quarterly Compliance Board Report
The whole quarter in eight pages: KPIs, material events, vendor risk, exam posture, regulatory developments, advisor disclosures. Designed to be handed straight to your board chair.
— Featured · Annual
Annual 206(4)-7 Review
Mapped to the rule: policies tested, deficiencies found, remediation, attestation. The deliverable the SEC will ask to see, generated from the program record.
— CCO
Compliance Calendar
Year-at-a-glance: every filing, attestation cycle, and review date.
— CCO
Open Items Queue
Live work list: by owner, deadline, severity.
— Advisor
Advisor Scorecard
Marketing reviews, attestations, and training, per advisor.
— Exam
Books & Records Inventory
Mapped to Rule 204-2 · hash manifest included.
— Exam
Comm Archive Export
Scoped, Bates-stamped, includes hash-of-evidence.
— Risk
Vendor Risk Roll-up
Tiered vendors, DDQ status, exception summary.
— Trading
Trade Alert Disposition
Every alert · resolution · rationale · rule cited.
— Marketing
Marketing Review Log
Submissions, reviewers, turnaround, citations.
— Custom
Build your own
Any field, any filter, any cadence. Saved & shareable.
The board report, ready now
Eight pages your board will actually read.
The quarterly compliance report most firms cobble together from a CRM export, a spreadsheet, and a memo lives in RegFin as a finished document, formatted for a board packet and current the moment you open it.
Every figure on the page links back to the record it came from. If a director asks "what's behind the 98.6%," you click the number and the underlying attestations are right there.
— Hartwell Capital Advisors · Compliance
Q1 2026 Board Report
Prepared by Office of the CCO · April 16, 2026
— 1. Executive summary
The compliance program operated within tolerance throughout Q1 2026. No material events, no regulatory inquiries, and three remediation items carried forward from Q4 closed within the period.
98.6%
Attestations current
3
Items remediated
0
Material events
— 2. Material findings & remediation
- Two advisor disclosure forms filed past deadline; cause: vacation coverage gap. New backup-assignee rule deployed.
- One marketing piece published before review concluded; root cause documented, retraining completed.
- Vendor DDQ for sub-processor "Greenline Analytics" closed with two minor exceptions; both within risk tolerance.
— 3. Regulatory developments tracked
SEC Marketing Rule no-action letter (Feb 2026) · IA-6512 risk alert on AI claims · Form CRS amendments under proposal. Mapped to firm policies; one policy update queued for May.
— Hartwell Capital · CRD 145002
— Page 1 of 8
Every audience · every format
Export to whatever they asked for.
— .pdf
Polished PDF
Board packets, exam responses, advisor-deliverable copies. Branded with your firm's letterhead.
— .csv · .xlsx
Spreadsheets
For your auditors, your data team, your own Excel pivot. Includes column-level data dictionary.
— .zip · workpaper
Exam workpaper
Bates-stamped exhibits, hash manifest, evidence index. Designed to go straight to counsel or the examiner.
— scheduled
On a schedule
Set any report to generate and arrive in your inbox on a cadence (daily, monthly, or quarterly) so the board packet is ready before the meeting.
FAQ
Reporting questions, answered.
Yes. The default template is a starting point. You can edit section order, add custom narrative blocks, rebrand the cover, and pin firm-specific KPIs. Once configured, it regenerates with current data every time. Your edits stick to the template, not the snapshot.
The report builder lets you pick fields, set filters, choose a layout (table, chart, narrative), and save the report to a folder. Saved reports can run on demand or on a schedule. Most CCOs end up with five to ten custom reports for the things their firm runs differently from the default.
Both. Dashboards are live by default. They reflect the current state of the record. When you generate a report (PDF, workpaper, etc.) it captures a snapshot at that moment with an integrity hash, so the version handed to the board or examiner is a fixed, evidenced artifact. The original live view is always there if you need to drill in.
Yes, through exports. Every report and dataset comes out as CSV (with a column-level data dictionary), PDF, or an exam workpaper, so your team can drop the CSV straight into Excel or your own BI tool. Reports can also run on a schedule and arrive automatically, so the latest numbers land without anyone re-running them.
A ZIP file structured like a typical SEC document request: each request mapped to a folder, each folder containing the responsive documents, an index, a Bates-stamp report, and an integrity manifest with SHA-256 of every file. The default packet covers the common asks; you can tailor it for the specific document request you receive.
The CCO and their team see everything; advisers see only their own book; auditors and board liaisons get a read-only login. Every generated report is itself logged (who ran what, when, against which version of the data) and that log is part of the archived record.
Live in two weeks
Show us your last board packet.
Most firms have one: a Word doc, a few exports, a memo. See what the same packet looks like generated from a real record. Same content, one click, current.
Book a demo →