What SEC and FINRA Expect When You Deploy AI for Compliance - Download eBook

AI-Powered Compliance, Cybersecurity and Data Platform for Regulated Firms

The Only AI Platform Built by Compliance, Cyber, and Data Experts for  SEC, FINRA and State-Regulated Firms.

Trusted by Entrepreneurs to Fortune 500s

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Industry’s Most Comprehensive Platform.

Modular. Flexible and Built on ONE compliant data fabric.

Accounting

Audits & Attestations

Cyber Security

Cybersecurity & Vendor Due-diligence

SCP Foundation

Policies & Procedure Management

Laptop Coding

Code of Ethics & Trade Oversight

E-commerce

Marketing &  E-comms Surveillance

Puzzle Matching

Data Integration & Compliance Data Lake

Event Accepted

Compliance Calendar

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Regulatory AI Co-pilot

High Risk

Compliance Risk Reporting

Expert Services with Experience You can Trust.

Delivered by SurgeONE sub-brands with over 100+ years of combined experience.

Compliance

MGL Consulting: Led by ex-regulators and legal experts with decades of exam and enforcement insight

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Cybersecurity

Security Snapshot: Cyber programs run by seasoned professionals who’ve secured thousands of endpoints

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Data & Integration

Kovair Software: Engineering-led services for migrations, integrations, and automation at enterprise scale

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Audit Readiness, Like no other.

Run internal audits and collect attestations with ease. AI spots gaps and ensures your firm stays exam-ready.

  • Be audit-ready, always
  • Full history tracking
  • Smart automation

Smarter Cyber Oversight.

Centralize third-party risk and cyber posture. Use AI to prefill and score vendors in minutes.

  • Real-time vendor scoring
  • AI-assisted reviews
  • Unified cyber risk view

Control Insider Risk in One Place.

Track personal trading and employee conduct. Automate alerts, attestations, and policy checks.

  • Insider risk control
  • Auto-flagged violations
  • Reg-ready reporting

Fast Communications & Marketing Review.

AI scans websites, emails, and decks for regulatory red flags. Keep marketing compliant without delays.

  • AI risk detection
  • Disclosure monitoring
  • Policy-aligned reviews

All Your Policies Stay in Sync with Regs.

Tie your WSPs to real rules. Get alerted as rules change — and know what to fix.

  • Map to regs
  • Instant alerts
  • Continuous gap testing

Capture What Matters to Your Team.

Capture anything: audit notes, regulator asks, issue logs. Customize workflows — no code needed.

  • Flexible fields
  • Powerful analytics
  • Rapid setup

Risk Dashboards that Work.

Score your firm's risk. Compare metrics to peers and spot blind spots before the regulators do.

  • Risk scoring
  • Peer benchmarks
  • Actionable insights

Weekly Insights. Zero Effort.

Get a clear view of what happened, what matters, and where to focus — all in one AI-powered report delivered every week.

  • Automated insights
  • AI-prioritized highlights
  • One-click weekly summaries

Why us? AI you can trust, Experts who’ve been there.

Real regulatory and data experience embedded in every feature.

Learning

Explainable AI

Every Alert, Recommendation, and Risk Score is traceable back to logic and policy –no black boxes
Module

Modular, Not Monolithic

Start with one module. Add more when you need. No bloat. No lock-in.
Process

Transparent Workflows

Know why something triggered, how to act and where it maps to real rules
Window Settings

Own Your Data. Your Platform.

Open integrations and centralized reporting so you’re never held hostage.
Project Management

Accountable Intelligence

Built-in audit trails and compliance logic make our AI not just smart – but exam ready
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Deep Services Experience

Our AI is supercharging a team with 100+ years of experience.

Awards and Recognitions 2025

Where Compliance, Cyber, and Data Intelligence come together to power AI innovation

Modernize Your Firm’s Operations - Start Today

AI-powered compliance, cybersecurity, and data workflows.
Let’s walk you through it.

Industry insights

Discover our articles

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Inside the Regulator’s Mind: SEC & FINRA on AI in 2025 Watch On - Demand
Regulators are signaling higher expectations for AI supervision, transparency, and documentation. Automation helps, but expert-led oversight remains non-negotiable. Here’s what we covered and what firms should do next.
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Meet SurgeONE Next Gen Compliance and Cyber
At SurgeONE, we’ve always believed that technology alone isn’t enough to manage compliance in a rapidly changing world. Real progress comes when deep expertise and advanced AI work together, and with the new SurgeOne, that vision is becoming reality.
Post-Webinar Recap: Choosing the Right RIA Compliance Partner in 2025
Missed our 30-minute expert panel? No worries, catch the full recording below and skim the highlights to get the key takeaways in minutes. The session, “Expert Panel: Choosing the Right RIA Compliance Partner in 2025,” ran on August 20, 2025
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