Sectors we serve
Enterprise SaaS RegTech that turns regulatory change into structured, actionable intelligence—tailored to your business.
Broker/Dealers and Investment Firms
Broker-dealers and investment firms face constant change across global conduct and prudential regimes — from best execution and suitability to market integrity and client communications. Managing overlapping obligations from regulators such as the SEC, FINRA, FCA, ESMA, MAS, and ASIC demands precision and continuous monitoring.
RegPass™ helps by:
- Scanning global updates and filtering them by activity, product, and jurisdiction.
- Mapping digital rulebooks directly to firm policies, procedures, and controls.
- Providing pre-built frameworks for trade surveillance and communications oversight.
- Maintaining full traceability from regulatory source through to audit evidence.
RegPass™ enables globally active firms to keep pace with evolving conduct and investor protection rules — reducing noise while improving assurance and oversight.
Hedge Fund / HFT
High‑velocity trading strategies and model‑driven decisioning face tight oversight on market abuse, short selling, algorithmic governance, and transparency across regimes. Policies must keep pace with rapid model change and complex execution architectures.
RegPass™ helps by:
- Tracking SEC/FINRA, FCA/ESMA and other guidance on algorithmic controls, market manipulation, and short selling.
- Mapping obligations to controls such as kill‑switches, pre‑trade checks, model testing/approval, and change management.
- Linking surveillance procedures (spoofing/layering, wash trades) to specific rules and risk rationales.
- Maintaining evidence trails for governance committees, investors, and regulators.
Operationalize compliance at trading speed. RegPass™ turns regulatory requirements into enforceable guardrails and auditable workflows across your stack.
Exchange / Trading Venue
Venues must maintain current market rules, transparency regimes, listings standards, and participant obligations while coordinating surveillance and public disclosures across jurisdictions.
RegPass™ helps by:
- Scanning and normalizing market structure and transparency updates across regulators.
- Maintaining digital rulebooks tied to listings, participant agreements, fee schedules, and operational manuals.
- Producing integration‑ready outputs for surveillance systems and member communications.
- Providing end‑to‑end lineage from regulation to public notices and internal procedures.
Keep venue rules accurate and provable. RegPass™ centralizes obligations, updates, and dissemination with clear traceability for members and regulators.
Asset Manager
Managers navigate complex obligations across portfolio management, distribution, ESG/SFDR, best execution, conflicts/inducements, and client disclosures—often in multiple jurisdictions.
RegPass™ helps by:
- Unifying investment, distribution, and sustainability obligations in a single digital rulebook.
- Providing policy templates for conflicts, inducements, best execution, marketing, and disclosures.
- Mapping obligations to investment guidelines, monitoring, and oversight processes.
- Running impact analysis on regulatory updates with suggested redlines to policies and prospectus text.
Deliver consistent compliance across strategies and channels. RegPass™ connects rules to policy and control execution with auditable lineage.
Retail Bank
Banks must align consumer duty, product governance, AML/KYC, complaints handling, and outsourcing/vendor oversight across complex customer journeys and systems.
RegPass™ helps by:
- Horizon scanning and operational rulebooks for onboarding, servicing, complaints, and vulnerable customers.
- Mapping obligations to KYC/AML controls and periodic review cadences.
- Defining product governance checkpoints and disclosure requirements.
- Generating evidence packs for internal audit and supervisory exams.
Turn policy into process. RegPass™ translates consumer protection rules into day‑to‑day controls with clear ownership and proof.
Corporate & Investment Bank
Global IBs balance cross‑border regimes for underwriting, M&A/advisory, research separation, conflicts/MNPI control, distribution, and Volcker/market activity restrictions.
RegPass™ helps by:
- Mapping obligations for primary/secondary markets, syndication, and research separation into actionable policies.
- Operationalizing conflicts management, wall‑crossing, insider lists, and MNPI handling.
- Coordinating cross‑jurisdictional updates with impact analyses and owner assignments.
- Maintaining provenance from regulatory text to checklists, attestations, and deal files.
Bring coherence to complex global requirements. RegPass™ provides one chain of custody from regulation to policy to control—and back again.
Payments / FinTech
FinTechs juggle licensing, PSD2/Open Banking, AML/CTF, fraud/chargebacks, outsourcing, and customer protection while shipping product fast across regions.
RegPass™ helps by:
- Maintaining jurisdiction‑specific rulebooks for payments, e‑money, and money transmission.
- Mapping controls for onboarding/KYC, transaction monitoring, fraud response, and disputes.
- Tracking API, consent, and transparency requirements for Open Banking and consumer duty.
- Providing API‑first outputs to embed compliance checks into product workflows.
Scale with confidence. RegPass™ reduces noise and keeps teams focused on the changes that matter to your product and customers.
Crypto / Digital Assets
Digital asset firms face evolving requirements across MiCA licensing, FATF Travel Rule, custody/segregation, market integrity, token issuance, and disclosures—varying by jurisdiction.
RegPass™ helps by:
- Horizon scanning for global crypto rules and supervisory statements with jurisdictional filters.
- Policy templates for custody controls, market integrity, listing/issuance standards, and client disclosures.
- Embedded guidance for Travel Rule compliance and provenance tracking.
- Evidence packs demonstrating compliance posture to partners, banks, and regulators.
Operate with clarity. RegPass™ keeps your controls synchronized with the latest expectations while preserving flexibility to adapt.
Consultancy
Advisors and outsourcers need accurate, up‑to‑date intelligence and repeatable processes across many clients, sectors, and jurisdictions—while proving value and rigor.
RegPass™ helps by:
- Enabling multi‑client workspaces and reusable digital rulebooks by sector and region.
- Producing white‑label reports, matrices, and evidence packs ready for client delivery.
- Accelerating research and Q&A with embedded, citation‑aware AI advisor.
- Offering portfolio‑level dashboards and access controls for client confidentiality.
Deliver consistent, high‑quality outcomes at scale. RegPass™ standardizes engagements and compresses time‑to‑value.
RegTech / GRC Vendor
Platforms need reliable regulatory content, stable interfaces, and clean data models to enrich controls, risk, and policy workflows—without breaking existing stacks.
RegPass™ helps by:
- Providing APIs/exports for obligations, mappings, and change events in normalized schemas.
- Preserving attribution and provenance end‑to‑end for audit and reporting.
- Supporting coexistence with popular GRC platforms through flexible integration patterns.
- Offering data contracts and versioning for reliable downstream consumption.
Ship integrations faster with dependable regulatory data. RegPass™ augments your platform with structured content that fits.
Other
Specialized firms and emerging models often face novel or fragmented requirements that demand tailored rulebooks, concise alerts, and pragmatic implementation.
RegPass™ helps by:
- Authoring custom rulebooks and templates calibrated to your operations and jurisdictions.
- Delivering segment‑specific alerts focused on material changes and deadlines.
- Guiding onboarding with co‑authored policy updates and control designs.
- Offering flexible deployment and integration options suited to your stack.
Don’t see your category? We’ll configure RegPass™ to your model and regulatory footprint—with the same traceability by design.
See RegPass™ in action
From alert to assurance in one governed chain. Book a tailored walkthrough for your sector.
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