187 Enforcement Actions in the U.S. over past 30 days

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FINRA enforcements decreased 31% over the past 30 days

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SEC issued enforcements: $293,829,552.51 over the past 30 days

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148 Final Rules go into effect in the next 30 days

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84 Mortgage Lending docs published in the last 7 days

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4743 docs with 9164 extracted obligations from the last 7 days

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new Proposed and Final Rules were published in the past 7 days

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11951 new docs in pro.compliance.ai within the last 7 days

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Download the Q3 Enforcement eBook now!

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Join us Feb 4th at Comply 2021

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Review the Latest Enforcement Actions

Download Compliance.ai’s quarterly eBook with a comprehensive review of enforcement actions for the previous quarter.

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Regulatory Reports

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Agency Report

Agency activity summarized by document type. All agencies, in one place.

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Enforcement Action Report

See the violation, respondent and penalty amount, summarized by agency each week.

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Regulatory News & Deadlines

Trending news and upcoming deadlines like comment close, effective and notice dates.

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WHAT IS REGTECH

Emerging Technology to Ease the Compliance Burden

Traditional 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.

WHY US

The Compliance.ai Difference

Features

Gain Insight with a
Modern Command Center

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.

Gain Insight with a
Modern Command Center

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.

Never Miss a
Regulatory Obligation

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.

Never Miss a
Regulatory Obligation

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.

Expert Guidance at
Your Fingertips

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.

Expert Guidance at
Your Fingertips

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.

Repeatable, Auditable Change Management Process

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.

Repeatable, Auditable Change Management Process

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.

Need Proof?

Learn how a mid-size bank has mitigated risk and cut costs using Compliance.ai

Awards

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