Question 1

How does Key Regulatory differ from consumer LLMs or generic AI checkers?

Accepted Answer

Key Regulatory is a deterministic, 14-point regulatory evaluation engine grounded in 45 governing bodies—not a generative chatbot. Consumer chatbots generate unpredictable text and hallucinate compliance assertions without statutory grounding or audit ledgers. Key Regulatory executes deterministic rule dictionaries against SEC, FINRA, CFTC, and State Blue Sky standards, pinpointing exact character offsets in your collateral and linking every finding to verbatim regulatory passages. All findings produce cryptographic SHA-256 evidence ledgers suitable for regulatory examination and internal compliance committee approval.

Question 2

Is our collateral, pitchbook text, or proprietary strategy used to train AI models?

Accepted Answer

Strict zero-retention and zero-training guarantee. Your materials are processed ephemerally in isolated memory and never used for model training. We operate under legally binding enterprise data privacy covenants: no customer collateral, pitchbooks, LP letters, or attribution models are ever stored permanently, logged to shared weights, or retained for model training. For institutional funds requiring complete data sovereignty, we offer isolated single-tenant private cloud deployments (AWS GovCloud / dedicated VPC) and air-gapped on-premise hardware appliances (NVIDIA DGX Spark).

Question 3

Which regulatory authorities and rulebooks are covered on every scan?

Accepted Answer

Comprehensive coverage across 45+ financial regulatory bodies, including SEC, FINRA, CFTC, NFA, 50-State Blue Sky, FCA, and ESMA. Every document is evaluated against the complete rule matrix: SEC Marketing Rule (Rule 206(4)-1), FINRA Communications with the Public (Rule 2210), CFTC / NFA Performance Presentation & Disclaimers (Rule 4.41 / Compliance Rule 2-29), State Blue Sky custody & registration mandates, and FinCEN/BSA disclosures. International cross-border modules extend coverage to UK FCA COBS 4 and EU ESMA / MiFID II cross-border distribution requirements.

Question 4

What specific checks make up the 14-Point Evaluation Engine?

Accepted Answer

A dual-tier evaluation system combining 6 authority evaluation nodes and 8 deterministic risk checks on every single document. 6 Authority Nodes: SEC Marketing Rule, FINRA Public Communications, CFTC/NFA Derivatives, State Blue Sky, FinCEN/BSA, and International/Cross-Border. 8 Deterministic Risk Checks: Performance Prominence (Net vs. Gross balance), Hypothetical/Backtested Disclosures, Testimonial/Endorsement Disqualification, Prohibited Guarantees & Exaggerations, Mandatory Disclosures & Footnotes, Source Attribution & Grounding, Format Layout & Font Legibility, and Archive Immutability.

Question 5

How does On-Premise DGX deployment work for sovereign compliance?

Accepted Answer

An NVIDIA DGX Spark appliance deployed inside your office or secure data center. A petaflop of sovereign compliance AI operates air-gapped on-premise: your investment collateral and confidential strategies never leave your physical premises, and only the cryptographic review record travels.

Key Regulatory: Fiduciary Operating System for Private Markets

Governed Compliance Workflows & Deterministic Rulesets

Three Institutional Deployment Models

Regulatory & Technical FAQ