Regulatory intelligence · SEC · FINRA · CFTC · NFA
Regulators publish more than most firms have time to use. Frontissa connects that regulatory intelligence to how your firm actually operates, so you can see what matters, where you are exposed, and what to do next.
The condition
The cause is usually capacity. At many firms, compliance is one person or a small team, often with other jobs. Regulatory information is abundant, but firm-specific interpretation is scarce.
A small firm carries the same obligations as a large one, across up to four regulators, with one or two people to meet them.
The work lives in email, Word, Excel, and memory. Nothing connects a rule change to the policy, control, and test it touches.
The usual failure is unevidenced work: the firm did the thing and cannot show it two years later to someone who was not there.
The two usual answers are priced for a larger team: enterprise GRC software, or an outsourced CCO whose knowledge leaves when the engagement ends.
What Frontissa does
Frontissa tracks what regulators publish, sorts it by process, risk, and control, and connects it to how your firm operates. It helps organize the evidence and draft the first pass. Your compliance team makes the judgment calls.
What regulators published and enforced, sorted so you can find what applies to you.
The connection from a rule to your policies, controls, testing, and evidence, kept current.
Professional review and hands-on support, scoped to a team of one or two.
How it works
The method comes from large-firm practice: scope by risk, document the evidence, trace each finding to its cause, and track the fix. Frontissa rebuilds that discipline for smaller compliance teams.
01
Tracks what the SEC, FINRA, CFTC, and NFA publish and enforce, and maps it to your firm.
02
Every finding traces from rule to evidence. Source, date, and reviewer travel with it, so when someone asks how you knew, you can show them.
03
AI drafts and a practitioner signs. AI analysis is labeled as AI-drafted and source-linked, and is never presented as a finding.
Who it is for
Built for
Not built for
Who builds Frontissa
Built by a former FINRA investigator, in-house compliance officer, and Big 4 consultant, with more than 15 years in financial services.
Get in touch
Advisory engagements are open now. The platform is in development, and early access is by request.