Compliance software for investment advisers
It opens on what needs you today.
One dashboard. It starts with what is waiting on a decision from you, a short briefing on where to begin, and the SEC enforcement, risk alerts and rule changes worth your time.
The modules
Each one does a job the rules give you. What is waiting on your decision reports back to the dashboard; the calendar keeps its own count of what is due and overdue.
Compliance calendar
Luna seeds the obligations a registered adviser actually has, generates each occurrence on its own cadence, and reminds you before each one is due. This is the free tier, because a deadline you missed is the most expensive thing on this website.
Compliance calendar →
Code of ethics
Access persons file gifts, entertainment, political contributions and outside business activities themselves. You review, decide and move on. Everything is attributed and timestamped, because the record is the point.
Code of ethics →
Personal trading
A request comes in and Luna checks it against your restricted list, your short-term trading blackout and the household accounts subject to the same rules. Clear cases resolve themselves. Linked brokerage accounts send their trades in on their own, and each is checked against what was approved.
Personal trading →
MNPI register
Record each piece of material non-public information as a matter, keep the insider list for it, and Luna refuses preclearance to anyone on that list in the securities it covers. Every day it checks each open matter for a review falling due, an expected announcement date passing, and new SEC filings by the issuer.
MNPI register →
Marketing review
Drop in a deck, a one-pager, an email or a landing page URL. Luna reads it and comes back with findings, each one saying where in the piece it sits and citing the rule it fails. You decide what to do about them.
Marketing review →
Email archive
Your mail server sends Luna a copy of every message. Luna keeps the original under lock for your retention period, checks it against your rules, has AI review it with the evidence quoted, and puts what needs a look in front of a person. Email only, on Firm Plus.
Email archive →
Also in Luna
Attestations
Assigned to named people, groups or everyone, with who has completed it, who has not yet, and who is overdue. Someone who joins a group later is sent it.
Registration filings
Each change that makes a Form U4, U5 or ADV amendment due, logged with a due date set by the strictest of your states, until it is filed. Your states' rules sit beside it, each cited.
IAR register and CE
Every IAR, with their CRD number and states, and the continuing education each state requires of them this year. Each IAR logs their own courses, and Luna reminds them before CRD closes.
SEC exam workspace
Upload the request letter and Luna breaks it into items, each with an owner and a deadline, the documents produced against it, and a way to share them with counsel.
Speak up
Anyone at the firm can report a concern anonymously, with no account, address or time stored, and follow up by code. A concern about the CCO goes to a named backup reader instead.
Policy library
Your written policies and procedures, kept in one place alongside the rest of the program.
Regulatory library →
The rules behind each module, with their legal weight stated and a link to the live source. Public and free, no account needed.