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About RegTelligence®

RegTelligence® is the first comprehensive database of all regulatory enforcement actions.

RegTelligence® is a game-changing, unified source for SEC, FINRA, CFTC, and other federal agencies, state and foreign regulatory enforcement actions involving investment advisors, dually-registered firms and affiliates.

RegTelligence® allows you to:

Gain Insight into all regulatory actions and sanctions
Educate clients and inform your strategies
Identify regulatory trends
Benchmark against peers
Perform Due Diligence for Financial Service firms
Create compliance analytics with ease

 

RegTelligence® Snapshot
RegTelligence® Reports

Snapshots are just the beginning. RegTelligence® collects data on over 30,000 investment advisors and dually-registered firms, covering more than 10 years of reporting data.

For our RegTelligence® analytics reports, and gain access to the number one source for intelligence on financial industry regulator behavior.

Sanction Distribution
Regulator Showcase
Total Enforcement Actions
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