AI Document Editor for Finance Teams
Finance teams produce documents where every number matters — investment memos, board materials, CIMs, and due diligence reports. Vespper connects your financial models and data sources directly to your narratives, so every figure is verifiable.
1. Securities Regulation
Finance teams produce documents subject to SEC disclosure requirements and securities regulations.
SEC and Exchange Act Requirements
- Periodic reporting obligations (10-K, 10-Q, 8-K) with content and timing requirements
- Regulation FD fair disclosure requirements preventing selective information sharing
- Insider trading prevention documentation and trading window policies (Rule 10b-5)
- Investment Advisers Act of 1940 compliance for registered advisers
- SEC filings with material misstatements create personal liability for signing officers under SOX 302
- Reg FD violations from inconsistent information in different documents can trigger SEC enforcement
2. Financial Reporting Standards
Finance teams must ensure all financial documentation complies with applicable accounting standards.
US GAAP and IFRS
- ASC codification compliance for US financial reporting
- IFRS compliance for international operations and dual-reporting requirements
- SOX Section 404 internal controls over financial reporting documentation
- MD&A (Management Discussion and Analysis) requirements for public filings
- Accounting standard non-compliance in financial documents can trigger restatements and SEC enforcement
- SOX 404 documentation must demonstrate control design and operating effectiveness continuously
3. Investment & Fund Compliance
Finance teams in investment firms must navigate fund-specific regulatory requirements.
Investment Regulations
- Investment Company Act of 1940 documentation requirements
- ERISA fiduciary documentation for retirement plan investments
- CFTC/NFA compliance documentation for derivatives activities
- BSA/AML documentation including KYC and suspicious activity reporting
- ERISA fiduciary documentation failures create personal liability for plan fiduciaries
- AML documentation gaps are a leading cause of regulatory enforcement in financial services
4. Regulatory Examination Readiness
Finance teams must maintain documentation supporting regulatory examination across multiple agencies.
Examination Preparation
- SEC examination priorities and documentation expectations
- FINRA regulatory examination preparation and response protocols
- State securities regulator compliance documentation
- Self-regulatory organization requirements and reporting
- Examination-ready documentation reduces audit duration and enforcement risk
- Document gaps during examinations trigger expanded scope reviews and heightened scrutiny
What happens when documentation falls short
- SEC enforcement action from reporting deficiencies or material misstatements
- FINRA sanctions from compliance documentation gaps
- SOX material weakness determination affecting financial reporting reliability
- Investor lawsuits from inadequate disclosure in financial documents
- AML enforcement penalties from documentation deficiencies
What this means for your team
How Vespper serves finance teams
Model-to-narrative connection
Upload financial models, comp tables, and data sources. Every number in your document traces to the specific cell or data point it came from.
Structured financial output
Generate memos and reports following your firm's templates: exec summary, market overview, financials, risk factors, and recommendation.
Data refresh workflow
When models update, see which narrative sections are affected and revise only what changed — without rewriting the entire document.
Review and approval tracking
Track every edit through the review process with full diff visibility. Know who changed what and when.
How finance teams use Vespper
Connect financial data sources
Upload financial models, comp analyses, market research, management presentations, and prior deal documents.
Generate financial documents
Draft investment memos, board materials, or DD reports with every financial figure traced to its source model.
Review and present
Review the narrative with partners, track changes through approval, and export presentation-ready documents.
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The document editor finance teams need
Produce financial documents where every number traces back to its source.
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