Regulatory Compliance Tracker

Ensure your fintech or trading operation stays compliant with ever-evolving regulatory standards using RegTrack, a structured compliance tracker tailored for SEBI, RBI, and international governance frameworks.

Built for founders, compliance officers, and product managers, this tracker allows you to proactively monitor obligations, maintain documentation, and track audit status across internal teams.

Whether you’re pre-launch or preparing for a regulatory audit, this tool gives you confidence and clarity across legal, risk, and operational layers.

🛠️ How It Works

• Choose Your Framework: Use SEBI or RBI tracker templates, or build your own custom regulatory checklist

• Tag Obligations: Classify by risk level, team owner, frequency (e.g., daily, quarterly, annual)

• Track Completion: Mark status as pending, in progress, reviewed, or escalated

• Store Evidence: Attach links or docs (audit logs, approval notes, communications)

• Monitor Compliance Score: Automated progress dashboards highlight risk areas and overdue items

🧩 What’s Included

• 📄 Notion Compliance Tracker – Covers SEBI, RBI, KYC, AML, and platform-specific obligations

• 📊 Google Sheets Template – Tabular format with formulas for scoring and flagging risk

• 🛡️ Sample Pre-Filled Sections:

  • Client onboarding

  • Margin & leverage rules

  • Algo certification (SEBI circular)

  • Data logging, alerts, and reporting

• 📝 Quarterly Audit Checklist

• 🔄 Editable Tag System for scaling to GDPR, ISO 27001, or SOC 2 if needed

💡 Ideal For

• SEBI Registered Brokers

• Algo Platforms and Signal Providers

• NBFCs or Wallet Services

• Internal Compliance Teams

• Product Managers launching regulated features