Regulatory AI for Financial Services

Compliance off your plate.
Capital back on the table.

We handle the regulatory burden end-to-end — automating workflows and surfacing issues before regulators do — so your team can redirect time and capital toward what drives the business.

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$8.2B
in SEC fines in 2024 — the highest in the agency's history
65%
of FINRA exam findings cite inadequate written supervisory procedures
100%
human review — nothing auto-files

What We Do

A full-service compliance operation that works with what you already have, and fills in the rest.

Frame1 combines AI-native automation with seasoned regulatory advisory — scoped to what your firm actually needs.

  • Automate any compliance workflow — policy updates, exam prep, filings, marketing review, and more.
  • Surface compliance gaps before regulators do — predictive, not reactive
  • Access experienced regulatory professionals for advisory, approvals, registrations, and emergency support
  • CCO stays in full control — AI does the groundwork, humans make the calls
  • Start with a free compliance risk assessment. No cost, no obligation.

What non-compliance costs

FINRA fine (average, 2024) $340K
SEC enforcement (median) $1.2M+
Frame1 annual cost Talk to us →

Our Solutions

Three ways we work with your firm.

Every engagement is bespoke — scoped to your compliance footprint, not a fixed menu.

01
AI-Native Automation

Compliance Automation with Human Oversight

Automate any compliance workflow — from policy and rule change management to exam prep and recurring filings — with a predictive layer that catches issues before regulators do. Nothing moves without your CCO's sign-off.

02
Advisory Services

Regulatory Consulting & Expert Advisory

Curated access to seasoned compliance professionals — whether you're a first-time SEC/CFTC registrant, seeking regulatory approvals, remediating findings, or in need of ongoing advisory.

03
Start Here — No Cost

Free Compliance Risk Assessment

Marketing reviews, customer onboarding, and new products — all accelerated. Your teams spend more time executing and less time waiting on sign-off.

Request Your Free Assessment

Who We Serve

Built for small and mid-size financial services firms.

We sell capital reallocation, not software.

Compliance is a tax on your firm's time and budget. Frame1 reduces that tax — so your team can focus on what actually builds the business.

Grow the Business

Spend less on compliance. Invest more in growth.

Compliance is consuming budget and headcount that could be funding revenue-generating activity. Frame1 delivers exam-ready compliance for less than the cost of a single junior compliance hire — and keeps you out of regulators' crosshairs.

Stay in Control

Full CCO oversight. A fraction of the manual work.

Your judgment runs the compliance program — not your hours. Frame1 handles the operational load and surfaces only what requires human attention. Every decision stays with you.

Move Faster

Compliance stops being the bottleneck.

Marketing reviews, policy updates, exam prep — all accelerated. Your teams spend more time executing and less time waiting on sign-off.

Free Tool

Compliance tools.
No strings attached.

Coming Soon

Built for compliance at small and mid-size firms.

Stay Ahead

The Frame1 Regulatory Briefing

Coming Soon

Regulatory updates, enforcement trends, and practical recommendations — signal, not noise.

Get Started

Free compliance audit.
No commitment.

We review your compliance infrastructure, identify the highest-risk gaps, and show you exactly where Frame1 fits. No cost.