Streamline Your Regulatory Disclosures
The complete platform for financial services firms to manage client-facing regulatory disclosures, including structured drafting, document versioning, and delivery confirmations to ensure compliance with applicable SEC, FINRA, DOL, and ERISA requirements.
Everything You Need for Regulatory Client Disclosures
Reglifi provides comprehensive tools to help your firm meet all applicable regulatory disclosure requirements.
Disclosure Management
Create, customize, and deliver regulatory disclosures — from Form CRS and ADV Parts 2A/2B to ERISA participant notices — with automated variables and version control.
Recommendation Tracking
Document the basis for every recommendation with built-in best interest analysis, cost comparisons, and conflict disclosures.
Client Management
Maintain comprehensive client profiles with investment objectives, risk tolerance, and complete disclosure history.
Delivery & Acknowledgment Tracking
Track every disclosure from delivery to client acknowledgment. Built-in e-delivery consent management and timestamped audit records satisfy SEC and FINRA documentation requirements.
AI-Powered Template Review
Instantly review disclosure templates from both a CCO and regulator perspective — flagging gaps, ambiguous language, and plain-English readability issues before a document ever reaches a client.
Compliance Calendar
Never miss a regulatory deadline. The compliance calendar surfaces upcoming obligations — annual ADV amendments, Form CRS reviews, and more — with automated reminders and direct links to take action.
Supervisory Review Prompts
Supervisors receive timely review prompts for pending disclosures and recommendations, with a dedicated queue to approve, reject, or return documents — keeping your supervisory workflow audit-ready.
Template Version Comparison
Compare any two versions of a disclosure template side-by-side with highlighted diffs. Understand exactly what changed between annual updates and demonstrate diligent review to examiners.
Compliance Gap Dashboard
See at a glance which clients are missing required disclosures for your firm's registration type. Prioritize outreach, close gaps proactively, and walk into any exam with a clean compliance posture.
Ready to Simplify Your Disclosure Process?
Join financial services firms who trust Reglifi for their regulatory disclosures.