Regulatory change management

Compliance management for the age of AI.

From alert to assurance in one transparent platform. AI accelerates every step of regulatory change — your experts always stay in control.

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Compliance Co-Pilot Online
You
What are the US best ex rules?
RegPass
In the U.S., "best execution" generally requires broker-dealers to use reasonable diligence to find the best market and obtain the most favorable terms reasonably available for a customer order under the circumstances. Today, that duty is primarily codified in FINRA Rule 5310. Separately, the SEC has recently proposed a major change to market structure by rescinding Regulation NMS Rule 611 (the trade-through rule), but that proposal is not yet in effect.
Rules
FINRA Rule 5310 — Best Execution and Interpositioning
Updates
SEC Release No. 34-105655 - The Trade-Through Rule and Locked and Crossed Markets Provisions of Regulation NMS (proposed June 11, 2026)
Ask a regulatory question…
75% less time on routine compliance review
10× your team's impact, without adding headcount
100% of outputs traced back to a primary source
The platform

One platform. One source of truth. Fully auditable.

A single connected workflow — from the first regulatory alert to a defensible, evidence-backed determination.

Rules inventory
WHAT RULES APPLY?

Rules inventory

Overlapping obligations consolidated into canonical rules, enriched with AI insight for clear traceability.

Horizon scanning
WHAT IS CHANGING?

Horizon scanning

Comprehensive global regulatory coverage. Business profiles surface only the alerts relevant to your organisation.

Policy and controls mapping
IS MY FIRM COMPLIANT?

Policies & controls

AI maps obligations to your policies and controls with clear rationale, exposing gaps and overlaps to close.

Regulatory policy advisor
YOUR COMPLIANCE CO-PILOT

Policy advisor

Ask in plain English. Your AI co-pilot parses complex regulation into grounded, actionable guidance.

Business profiles

Focus on the signal, not the noise.

Set up your business once — jurisdictions, licences, regulated activities, products, client types — and RegPass filters everything against it.

Business profile setup

Entity-aware applicability

Triage alerts and rules by jurisdiction, legal entity, desk, product and client type — automatically.

See why each rule applies

Every item explains applicability with clear reasoning and links to source — evidence, not just an outcome.

Tailored views

Owners see only what matters to them. Less noise, faster decisions, cleaner audits.

One-time setup

Define once, reuse everywhere: extraction, applicability, mappings and reporting all run from your profile.

Compliance co-pilot

The co-pilot that 10×s your team's impact.

AI that amplifies human expertise, reduces risk, and drives efficiency across the compliance lifecycle.

Extract & prioritise

Identify the obligations in new rules, surface what matters most, and route each to the right owner.

Full-coverage insight

See at a glance which areas are covered and where gaps exist across business units and products.

Map with confidence

Connect obligations to policies and controls with clear rationale, so reviewers approve quickly.

Close the loop

Trace every requirement to evidence — making audits and board reporting faster and more reliable.

Work smarter

With regulatory insight at their fingertips, teams make substantial savings on external counsel.

Work faster

Cut time spent on routine compliance tasks by up to 75% with AI-enhanced, streamlined workflows.

Why RegPass

Purpose-built for regulatory change — not a generic AI tool retrofitted for compliance.

Built by experts

Braithwate has codified decades of regulatory-change expertise into the RegPass knowledge graph.

Humans in control

Every AI suggestion is explained, auditable, and ready for human approval. Your team stays in charge.

AI at its heart

AI drives the workflow, turning alerts into actionable obligations — not an afterthought bolted on.

End-to-end traceability

Track every change from regulatory alert to assurance, with complete visibility across the lifecycle.

Open & extensible

Clean APIs, webhooks and integrations let you extend RegPass without vendor lock-in.

Transparent by default

Every output links back to its source, rationale and decision — so you always know why it's right.

Built for trust

Enterprise-grade security, compliance and control.

Model risk, managed

All AI suggestions require human approval. Confidence, rationale and overrides are captured for every decision.

Secure by design

SSO/OIDC, RBAC, encryption in transit and at rest, with regional and on-prem deployment options.

Interoperable

Everything is API-addressable. Export to and integrate with your existing GRC and ticketing systems.

Book a demo

See RegPass on your own regulatory landscape.

In one live session you'll see how RegPass reveals compliance insight, saves hours, and gives your team end-to-end control. Here's what we'll walk through:

  • Real-time horizon scanning with AI-driven insight
  • Business profiles filtering for relevant alerts
  • Collaborative workflow to streamline alert triage
  • The rules inventory and regulatory obligations
  • Control mappings with gaps and remediation suggestions
  • Traceability from rules → obligations → controls
  • Questions answered in plain English, with the exact sources behind every answer

Request your demo

A specialist will be in touch within one business day.

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