Key Regulatory: Marketing Compliance Review for Private Capital
Deterministic marketing compliance reviews and exam-ready evidence packages for hedge funds, private equity, CTAs, and registered investment advisers across SEC Rule 206(4)-1, FINRA Rule 2210, CFTC Rule 4.41, and NFA Compliance Rules.
Governed Compliance Workflows & Deterministic Rulesets
Key Regulatory evaluates pitchbooks, LP letters, tear-sheets, and DDQs against 45+ financial regulatory bodies with exact character offset citation and cryptographic SHA-256 evidence packages.
- SEC Rule 206(4)-1 (Investment Adviser Marketing Rule): Substantiation verification, gross vs. net performance equal prominence, 1-, 5-, and 10-year prescribed periods, hypothetical and backtested performance disclaimers.
- FINRA Rule 2210: Communications with the public, principal approval tracking, and retail distribution triggers.
- CFTC Rule 4.41 & NFA Rule 2-29: CTA/CPO promotional performance presentations and mandatory disclaimers.
- 2024 SEC Reg S-P Amendments: Service provider data oversight and incident response governance.
Three Institutional Deployment Models
- Agent Portal: Zero-Data Retention (ZDR) cloud with ephemeral memory processing and AES-256 encryption.
- Private Cloud / Dedicated VPC: Single-tenant AWS GovCloud isolation with customer-managed KMS keys.
- Sovereign DGX On-Premise: Air-gapped NVIDIA DGX Spark petascale appliance deployed in your data center—marketing collateral never leaves the building.
Hire Doreen: Junior Compliance Analyst (Automated Marketing Review)
Doreen is Key Regulatory's first-pass automated marketing review persona ("The employee you don't have to hire"). Evaluates investment collateral, pitchbooks, and DDQs across SEC Rule 206(4)-1, FINRA Rule 2210, and CFTC/NFA standards in under two minutes. Fourteen checks across two passes. Internal compliance decision-support only; requires qualified human review and does not approve or clear materials. Three free document scans per month in perpetuity.
Regulatory & Technical FAQ
- How does Key Regulatory differ from consumer LLMs or generic AI checkers?
- Key Regulatory is a deterministic, 14-point regulatory evaluation engine grounded in 45 governing bodies—not a generative chatbot. All findings cite verbatim statutes with cryptographic SHA-256 audit ledgers.
- Is our collateral or proprietary strategy used to train AI models?
- Strict zero-retention and zero-training guarantee under legally binding enterprise privacy covenants.
- Which regulatory authorities and rulebooks are covered?
- SEC, FINRA, CFTC, NFA, 50-State Blue Sky, FCA, and ESMA cross-border frameworks.