Capital Markets, Banking, and Asset Management
Built for teams navigating constant regulatory change.
Responsiv helps move from awareness to action—by filtering relevant updates, routing them across teams, and translating them into requirements, gaps, and actions.
Book a demoToo many alerts, not the right ones.
Regulatory updates often slip through the cracks: Important requirements don't make it to the right person until it's too late
57%
of firms struggle to keep up with new regulation
43%
of firms view new regulations as their top challenge
Financial Services
Navigate global laws, rules, and regulations
Responsiv helps financial institutions move from awareness to execution—by filtering relevant updates, routing them across teams, and translating them into requirements, gaps, and actions.
Federal Regulators
SEC, CFTC, Treasury, Federal Reserve, OCC, FDIC, and CFPB rules, guidance, and enforcements.
Self-Regulatory Organizations
Regulatory standards, handbooks, and enforcement actions from SROs.
Exchanges
Venue-level requirements shaping compliance, trading and market operations.
State Laws & Regulations
State banking, privacy, consumer protection, licensing, and financial-services requirements.
International Laws
Laws and regulatory frameworks from 40+ countries across EMEA, LATAM, and APAC.
Global Regulators & Supervisors
FCA, PRA, ESMA, and other international authorities’ handbooks, standards, and supervisory materials.
Core compliance coverage
From supervision and disclosures to AML, recordkeeping, and AI governance, Responsiv helps stay ahead of the changes that matter.
Anti-Money Laundering
KYC, sanctions screening, transaction monitoring, and suspicious activity requirements
Supervision & Surveillance
Supervisory procedures, communications reviews, trade surveillance, and conduct oversight
Recordkeeping
Retention, archiving, audit trails, and books-and-records obligations
Reporting & Disclosures
Regulatory filings, regulatory reporting, and disclosures of various types
Market Conduct
Suitability, best execution, conflicts management, and employee trading controls
Data Protection, Privacy & Security
AI governance, cyber resilience, data security, and privacy controls
Precision Compliance
Regulatory change that's specific to you
Built around your regulatory landscape, not a generic taxonomy.
Banks
Federal Reserve, OCC, FDIC, CFPB, and state banking rules across capital, liquidity, BSA/AML, fair lending, and consumer protection
Capital Markets
SEC, FINRA, CFTC, and exchange rules spanning broker-dealers, market structure, trading, clearing, and surveillance
Asset & Wealth Management
Investment Advisers Act, Investment Company Act, FINRA, and DOL rules for RIAs, private funds, mutual funds, and fiduciary advice
Ready to get regulatory change under control?
Built around your regulatory landscape, not a generic taxonomy.