Regulatory Risk Intelligence
Know exactly where any financial institution stands.
Automated regulatory risk scoring and gap identification from public disclosures. RuleboardAI reads filings, enforcement records, and institutional evidence, then scores what it finds across seven , scoped against and kept current with monthly monitoring.
CompanyScope
For your own institution
Baseline your regulatory position, score control maturity across seven axes, and keep it current with monthly monitoring.
CRO · CISO · Head of Compliance
AcquirerScope
For a counterparty or target
Read a buyer, sponsor, lender, or target from public registration and enforcement records before you commit.
PE deal teams · M&A advisors · lenders
- Free preliminary profile
- No credit card required
- Delivered in 1–2 business days
- No system access or document uploads
What you get back
- classification across 7
- Preliminary findings, ranked by severity
- register — what public sources can't confirm
- Verification roadmap for what to confirm next
Explore an interactive preview to see a complete published profile.
- SOX / SEC
- BSA / AML
- FFIEC
- Basel III
- SOC 2
- Third-Party Risk
The foundation of Governance, Risk & Compliance
Three questions every institution has to answer.
Governance, Risk, and Compliance — often shortened to GRC — is the machinery of trust in finance. Strip away the acronym and it comes down to three questions every regulator, investor, and board eventually asks:
Who's in charge?
That's Governance — who decides, who watches, who answers.
What could hurt us?
That's Risk — threats found, measured, and owned.
Prove you followed the rules.
That's Compliance — obligations traced to evidence.
Every charter, exam, board packet, and enforcement action is one of these questions being asked — and answered. Everything that follows takes them one at a time.
The Visibility Gap
Most institutions can’t see their full regulatory position
The information already exists. What’s missing is a single, current, evidence-backed view of where the institution stands.
Without a structured profile
The information sits in fragments
Obligations, evidence, and regulatory updates are scattered across filings, frameworks, and inboxes — never in one view.
The picture goes stale fast
Static spreadsheets are out of date the moment they're saved, so no one trusts the current regulatory position.
Hard to prove on demand
When a regulator, board, or counterparty asks, there's no structured, evidence-backed view ready to show.
What that costs, industry-wide
- 19%of revenue spent on compliance
- 99%saw compliance costs rise last year
- $61Bannual financial-crime compliance cost, US & Canada
Source: industry research, 2024–2025 (LexisNexis/Forrester; Model Office/Fidelity Adviser Solutions).
With a RuleboardAI profile
One classified view
Filings, enforcement records, and framework obligations classified into a single profile, scored across seven RCPS axes.
Dated, and re-checked
Every finding carries its source and the date it was established. Monthly monitoring maps new regulatory activity back to your baseline.
Evidence you can hand over
Findings labeled Confirmed, Likely, Conditional, or Escalate, with a source appendix and a register of what public sources cannot resolve.
Built from four inputs, entirely from public sources.
See It In Action
A real regulatory risk profile, on a real public company
Produced entirely from public sources — no client engagement required.This is exactly what you'll receive from four inputs.
Fragmented sources
Filings, frameworks, policies, signals
Classified evidence
Mapped to workflows & obligations
Structured risk profile
RCPS scored, findings surfaced
Verification
Sourced, dated, gap-flagged
Monitor & resolve
Baseline-mapped, tracked to closure
How four inputs become an audit-ready regulatory risk profile with monthly monitoring.
SoFi Technologies, Inc. (NASDAQ: SOFI)
Preliminary · Gap Mode · Public sources only
2.6 / 5
Composite maturity
SoFi Crypto vs. OCC charter condition — SoFi Crypto launched Dec 2025; the OCC's 2022 charter approval prohibited crypto-asset activities at SoFi Bank, N.A.
Data gap: Whether crypto activities are structured outside SoFi Bank, N.A. cannot be confirmed from public sources.
Scores are inferences from public sources only. Sample profile — SoFi Technologies is not a client. Produced from public sources only. Not an audit, legal opinion, or attestation.
What's inside
- client classification across 7 axes
- Control maturity scorecard
- Risk findings + regulatory obligation map
- Identified (public sources can't confirm)
- Recommended next-step path
- Source appendix
The engine behind every profile
Who We Serve
Built for regulated industries
If your institution operates under regulatory supervision, RuleboardAI gives you a clear, current view of where you stand. Select your industry to see how.
Banking & Financial Services
Board-ready regulatory risk posture for banks, credit unions, lenders, and holding companies.
Frequently Asked
Questions buyers actually ask
What exactly does RuleboardAI do?
Objective public-source regulatory intelligence and evidence-verification workflows. We classify an institution across seven RCPS axes, scope it against a 48-workflow universe, score control maturity, surface findings by severity, and register every gap public sources cannot resolve. The output is a structured regulatory risk profile you can hand to a board, a counterparty, or an examiner as supporting work. See how it works
Is RuleboardAI an audit or legal opinion?
No. Preliminary reviews use public sources only. Final reports require client authorization, evidence intake, and verification. RuleboardAI does not provide legal advice or issue audit opinions, regulatory examination results, or control attestations. Customers remain responsible for their own regulatory obligations.
Who builds and operates RuleboardAI?
RuleboardAI is built and operated by an 8+ year financial-services SEC-reporting and compliance operations veteran — 10-K, 10-Q, and 8-K reporting, NAV calculation, and governance, risk, and compliance program work for institutional portfolios. The classification model and the 48 workflows come out of that operating experience, not from a generic compliance template. Meet the founder
How fast do I get my free profile?
1–2 business days from your four inputs. It is a real preliminary regulatory risk profile produced by RuleboardAI's engine from public sources — scored, sourced, and gap-registered. Not an automated teaser. See a sample profile
What do you need from me to get started?
Four inputs: company name, website, public or private status, and ticker if public. The preliminary profile is built entirely from public sources — no document requests, no system access. Deeper review begins only after a signed Letter of Authorization.
Can I run a report on just one category?
Yes. Every one of the 11 categories — from Governance and Cybersecurity to Privacy and HR & People — is available as a CompanyScope Snapshot, a focused single-category risk report at $500/month. SecureScope covers technology and security risk as a $500 one-time report. See all products
Do we need to connect our systems?
Not for the preliminary profile. It is built entirely from public sources — no system integration, no database or API access, no IT configuration, and no document uploads. Four inputs are all we need. Deeper, evidence-verified review is different: it begins only after a signed Letter of Authorization and does involve documents you provide, on your timing and your scope. We won't claim otherwise — verified conclusions require evidence. How we access your data
How is our data handled and secured?
The methodology is public-source and non-custodial by design: preliminary profiles are built entirely from public records, so there is no system access, no document upload, and nothing of yours to hold. We follow security-conscious, SOC 2-aligned practices. We are not currently certified under SOC 2, ISO 27001, or any similar framework, and we do not claim to be. Deeper, evidence-verified review begins only under a signed Letter of Authorization. Security & Data Handling
What does it cost?
The preliminary profile is free. SecureScope is $500 one-time, AcquirerScope buyer-side due diligence is a $500 flat fee, and the full monitoring bundle is $2,500/month. No per-seat surprises, no hidden fees. See full pricing