Review the Latest Enforcement Actions
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187 Enforcement Actions in the U.S. over past 30 days
FINRA enforcements decreased 31% over the past 30 days
SEC issued enforcements: $293,829,552.51 over the past 30 days
148 Final Rules go into effect in the next 30 days
84 Mortgage Lending docs published in the last 7 days
4743 docs with 9164 extracted obligations from the last 7 days
new Proposed and Final Rules were published in the past 7 days
11951 new docs in pro.compliance.ai within the last 7 days
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Download Compliance.ai’s quarterly eBook with a comprehensive review of enforcement actions for the previous quarter.
Learn How to Get Financial Services Regulations Under Control
Read moreAgency activity summarized by document type. All agencies, in one place.
This week's reportSee the violation, respondent and penalty amount, summarized by agency each week.
This week's reportTrending news and upcoming deadlines like comment close, effective and notice dates.
This week's reportTraditional GRC software products have existed for some time, but these applications were not designed to address the challenges associated with Regulatory Compliance Solution. In fact, the required technology to support Regulatory Compliance Platform activities did not exist at the time those applications were developed. Specifically, GRC software does not proactively monitor sources of new regulatory information, provide the ability to automatically analyze and enrich new regulatory content, or enable compliance, risk, and legal teams to deploy an RCM command center to monitor their compliance status.
The advent of cloud computing, artificial intelligence (AI), and richer analytical capabilities enabled the creation of a new class of applications, referred to as Regulation technology – or “RegTech”. RegTech solutions expand the capabilities of compliance teams by delivering a more flexible and automated approach to how regulatory requirements are understood and addressed. This flexibility and automation help compliance teams to increase accuracy, improve productivity, and reduce the chance that compliance gaps will be missed.
Our artificial intelligence compliance deploys configurable, personalized dashboards that highlight potential compliance issues for the entire enterprise. Reduces regulatory compliance risk by helping you to avoid audit and exam findings, enforcement actions, and fines. Helps you to stay up to date before, during, and after the rule-making process for compliance regulations.
Our artificial intelligence compliance deploys configurable, personalized dashboards that highlight potential compliance issues for the entire enterprise. Reduces regulatory compliance risk by helping you to avoid audit and exam findings, enforcement actions, and fines. Helps you to stay up to date before, during, and after the rule-making process for compliance regulations.
Compliance.ai software for compliance management monitors regulatory updates from any source and filters out content so that you receive only the information relevant to your enterprise. Each compliance specialist configures their own content preferences to stay current with the agencies, topics, and compliance requirements that they focus on.
Compliance.ai software for compliance management monitors regulatory updates from any source and filters out content so that you receive only the information relevant to your enterprise. Each compliance specialist configures their own content preferences to stay current with the agencies, topics, and compliance requirements that they focus on.
Our unique Expert in the Loop methodology embedded in our compliance management software automatically identifies regulatory obligations and helps you quickly pinpoint their impact on your controls, policies, and processes.
Our unique Expert in the Loop methodology embedded in our compliance management software automatically identifies regulatory obligations and helps you quickly pinpoint their impact on your controls, policies, and processes.
Use intuitive workflow capabilities delivered with the regulatory compliance platform to implement standardized compliance artificial intelligence processes. Automate the compliance process and assign compliance activities and tasks to the right personnel across the enterprise. Compliance.ai compliance management software also ensures rapid and effective completion of audit tasks and provides secure, third-party-certified reports to provide assurance about the compliance program. Examiners can easily review history without further preparation by the compliance team.
Use intuitive workflow capabilities delivered with the regulatory compliance platform to implement standardized compliance artificial intelligence processes. Automate the compliance process and assign compliance activities and tasks to the right personnel across the enterprise. Compliance.ai compliance management software also ensures rapid and effective completion of audit tasks and provides secure, third-party-certified reports to provide assurance about the compliance program. Examiners can easily review history without further preparation by the compliance team.
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