GovernanceRiskCompliance
Regulatory Risk Intelligence
Know exactly where any financial institution stands.
A preliminary regulatory risk profile of any U.S. financial institution — yours or a counterparty's — built entirely from public filings and enforcement records.
- One category, $500 one-time
- No documents or system access
- Delivered in ten business days
- Reviewed by a named person before it reaches you
What you get back
- Structured institution classification (), scored across its
- register — what public sources can't confirm
- Verification roadmap for what to confirm next
Explore an interactive preview to see a complete published 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.
Review your institution
Baseline your regulatory position with a structured institution classification and a control maturity scorecard built from public sources.
Evaluate your target
Read a buyer, sponsor, lender, or target from public registration and enforcement records before you commit.
- SOX / SEC
- BSA / AML
- FFIEC
- Basel III
- SOC 2
- Third-Party Risk
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
Prioritize next steps
Findings ranked, with remediation paths
How public-source evidence becomes a structured preliminary regulatory risk profile for internal review and evidence verification.
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.
CFPB direct supervision — total assets passed $10B for four consecutive quarters, so direct CFPB examination authority commenced January 1, 2024.
Data gap: The outcome of any CFPB examination since that date is not publicly disclosed.
SEC conflict-of-interest order — SoFi Wealth LLC settled in August 2021 over undisclosed conflicts when roughly 20,000 automated accounts were moved into SoFi-sponsored ETFs.
Data gap: Whether the order's undertakings changed current conflict-disclosure practice is not publicly verifiable.
Selected findings shown.
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.
RCPS profile
Illustrative
Composite maturity
2.6 / 5.0
Defined
What's inside
- Structured institution classification ()
- Control maturity scorecard
- Risk findings + regulatory obligation map
- Identified (public sources can't confirm)
- Recommended next-step path
- Source appendix
Frequently Asked
Questions buyers actually ask
What exactly does RuleboardAI do?
Objective public-source regulatory intelligence and evidence-verification workflows. We classify an institution against the RCPS axes, scope it against the 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 regulatory workflows come out of that operating experience, not from a generic compliance template. Meet the founder
How fast do I get my profile?
Ten business days from confirmed scope and cleared payment. It is a real preliminary regulatory risk profile produced from public sources — scored, sourced, gap-registered, and reviewed by a named person before it reaches you. 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 — one category is exactly how the offer works. Every GRC category, from Governance and Cybersecurity to Privacy and HR & People, is available as a Preliminary Regulatory Risk Profile: a focused single-category report at $500, one-time. SecureScope covers technology and security risk as a separate $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 Regulatory Risk Profile is $500, one-time. SecureScope is $500 one-time, and AcquirerScope buyer-side due diligence is a $500 flat fee per report. Every fee is one-time — nothing recurs and nothing auto-renews. No per-seat surprises, no hidden fees. See full pricing