Caffrey provides a regulatory intelligence platform for financial institutions, using purpose‑built AI to analyze compliance documents against a curated database of over 300,000 federal agency and SRO regulatory and enforcement records. The system maps policy sections to current rules, enforcement actions, and examination guidance, delivering audit‑ready, citation‑backed analysis and gap‑identification for counsel and compliance teams. It is designed for the high‑density, risk‑averse work of regulated finance.
Funding
Funding not disclosed
Founders
Product
Problem
Financial institutions and their legal counsel must navigate vast, complex regulatory frameworks and enforcement histories across multiple federal agencies, a process that is time‑consuming, prone to error, and difficult to document for audits.
Solution
Caffrey offers an AI‑driven compliance platform that queries a proprietary, curated database of over 300,000 regulatory and enforcement documents from more than ten federal agencies. Users upload policy manuals, filings, or internal procedures, and the system maps each section to relevant rules, enforcement actions, and examination guidance. The output provides evidence‑first analysis with explicit citations, redlining of policy gaps, and structured checklists designed for audit readiness. By limiting queries to a closed, authoritative corpus, Caffrey eliminates hallucinations and delivers precise, institution‑grade insights that align with the dense workflow of financial regulatory work.
Target Audience
Primary customers are compliance officers, regulatory attorneys, and legal counsel within banks, broker‑dealers, and other regulated financial services firms that must manage multi‑agency regulatory risk.
Features
- Curated corpus of 300,000+ regulatory and enforcement documents covering agencies such as FINRA, SEC, OCC, CFPB, FDIC, FinCEN, CFTC, and FRB
- Document upload interface that ingests policy manuals, filings, and internal procedures for automated mapping to current regulations
- Evidence‑first analysis that attaches long‑form citations to each finding, ensuring audit‑ready output
- Policy intelligence module that performs comprehensive redlining and gap analysis against the latest regulatory frameworks
- Structured enforcement intelligence with searchable enforcement actions and examination guidance
- Institutional‑grade reporting tools, including side‑panel analysis, enforcement checklists, and workflow integration for compliance teams