Category (Document Type)
Category Type allows users to filter based on a particular or specified set of Document Types. Please note, the Document / Category Type in Compliance.ai’s Search API is sensitive to capitalization. Also, the all documents that are categorized as “Manual” will be premium content.
These are the category / document types currently supported by our APIs, along with the Meta-Category they fall under:
Category ID | Category/Document Type | Meta Category Type | Description |
---|---|---|---|
1016 | Mainstream News | News | Document with information from conventional newspapers, television and other news sources that most people in the industry know about and regard as reliable. |
102 | Regulatory Digest | Agency Updates | Document issued by the Prudential Regulation Authority that highlights key regulatory news and publications delivered for the month. |
1030 | Memorandum of Understanding | Agency Updates | Document that states a nonbinding agreement between two or more agencies outlining the terms and details of an understanding, including each parties' requirements and responsibilities. |
1032 | Monetary Penalty | Enforcements | Document related to a monetary payment ordered or imposed by a court or any other entity, whether through a judgment, order, settlement agreement, etc. |
107 | Mortgage Lending | Agency Updates | Documents referring to mortgage loan that is a type of secured loan where agencies can avail funds by providing someone asset as collateral to the lender. |
109 | Requirement Notice | Notices | Document issued by the Financial Conduct Authority (FCA) requiring a firm to carry out a “skilled person review”. |
11 | Preliminary Report | Reports | Document issued by an agency or entity summarizing the preliminary outcomes of a study, project or investigation. |
1164 | Supervisory Guidance | Guidance | Document that outlines the agencies’ supervisory expectations, priorities, and general views regarding appropriate practices. |
1176 | Working Paper | Research & Papers | Document published by an agency or entity that shows a pre-publication versions of Papers, reports, research, etc. |
138 | Public Act | Legislation | Document with an act or statute affecting matters of public concern |
140 | Mortgagee Letter | Guidance | |
1503 | Supervisory Letter | Guidance | Document that address significant policy and procedural matters related to the Federal Reserve System's supervisory responsibilities. |
152 | Insurance Reports | Reports | Document containing general information on the insurance market in Switzerland; it also sets out balance sheet and profit and loss data for the industry as a whole. |
1550 | Impact Assessment | Reports | Document with a means of measuring the effectiveness of organizational activities and judging the significance of changes brought about by those activities. |
1580 | Supervisory Report | Reports | |
1603 | Decision Notice | Enforcements | Document with a written notice of a decision by an agency regarding an entity or individual’s eligibility. |
1612 | Risk Alert | Agency Updates | |
163 | Bill Analysis | Research & Papers | Document that contains a summary of a bill written in layman's terms. |
1654 | Exemptive order | Enforcements | |
178 | Consumer Affairs Letters | Letters & Comments | |
1788 | Finalised Guidance | Guidance | Document that sets out the actions that an agency believe entities should consider to comply with the law or regulations. |
1800 | Amicus Brief | Guidance | |
1835 | Letters to Credit Unions | Letters & Comments | |
1857 | Bill | Legislation | Document with a proposed legislation under consideration by a legislature. |
1918 | Speech | Agency Updates | Document presenting a transcription or summary of a speech given by an official or relevant person in the industry. |
193 | Opinion Letter | Guidance | Document with a formal expression of a judgment or advice based on an expert's special knowledge. |
195 | Examination Manual | Guidance | Document that contains procedures and guidance for examining entities regarding specific subject or issues. |
1970 | Whitepaper | Research & Papers | Document containing an authoritative report or guide that informs stakeholders concisely about a complex issue and presents the issuing body's philosophy on the matter. |
200 | Public Law | Legislation | |
2083 | Warning Notice | Notices | Document published by the FCA when they propose to take action. |
209 | Servicing Guide | Guidance | Document issued by an entity that guide the servicing policies. |
2090 | Complaint | Enforcements | Document issued by an agency, entity or individual that sets out the facts and legal reasons that they believe are sufficient to support a claim against the party or parties against whom the claim is brought that entitles them to a remedy. |
2095 | Event | Events | Documents describing the details of an event held by an agency. |
2099 | Discussion Paper | Research & Papers | Document that set out initial views as well as technical details on a proposed policy or regulation seeking views on how best to implement it. |
2108 | Final Report | Reports | Document issued by an agency or entity summarizing the outcomes of a study, project or investigation. |
2111 | Directive | Regulations | |
2119 | Testimony | Agency Updates | Document presenting a transcription or summary of a expert testimony presented to Congress, or an agency, on public policy issues. |
2121 | Amendment | Regulations | |
213 | Industry Letter | Guidance | Document issued by and agency in connection with the proposal or adoption of particular regulations within an industry. |
2264 | Statement of Policy | Regulations | Document with a declaration of a government's political activities, plans and intentions relating to a concrete cause or, at the assumption of office, an entire legislative session. |
2266 | Audit | Reports | Document about an independent examination of financial information of any entity. |
2271 | Investor Alert | Agency Updates | |
2315 | Recommendation | Guidance | |
2344 | Corporate Document | Agency Updates | |
24 | Corporate Report | Reports | Document that contains a comprehensive report intended to give information to shareholders and other interested people about an entity's activities and financial performance throughout the preceding year. |
2454 | Transparency Reports | Reports | Document published annually by FINMA that aims to increase transparency of occupational pension schemes and to positively influence the conduct of private insurers. |
2459 | Legislative Debates | Research & Papers | |
2468 | Meeting Minutes | Events | Document with an official record of a meeting for its participants and a source of information for people who were unable to attend. |
2480 | Termination Order | Enforcements | |
2546 | Budget | Agency Updates | |
2704 | Enforcement Decision | Enforcements | |
2715 | Determination | Guidance | |
273 | Financial Institution Letter | Guidance | |
2750 | Prohibition Order | Enforcements | |
2792 | Civil Money Penalty | Enforcements | Document related to a fine issued in civil court which penalizes a violator who profited from an illegal or unethical action. |
2794 | Company Filing | Guidance | |
2807 | Emergency Order | Regulations | |
2826 | Final Notice | Enforcements | |
2838 | Guideline | Guidance | Document issued by an agency that set outs a statement or plan by which to determine a course of action and to streamline particular processes. |
2839 | Industry Guidance | Guidance | |
2841 | Interpretive Letter | Guidance | Documents that provide general guidance on the agency staff's views as to the application of particular rules under specific circumstance. |
2846 | Manual | Guidance | Document issued by an agency that sets out the instructions and steps to fulfill a specific goal. |
2848 | Memorandum | Letters & Comments | |
2865 | Order | Enforcements | Document outlining a determination made by a court without issuing a legal opinion. |
2867 | Policy Paper | Research & Papers | Document containing a research piece focusing on a specific policy issue that provides clear recommendations for policy makers. |
2878 | Proposed Rule | Regulations | Document that announces and explains the agency's plan to address a problem or accomplish a goal. |
2889 | Research Publication | Research & Papers | Document issued by an agency, entity or organization to communicate relevant research findings. |
2990 | Breach Notification Decision | Enforcements | |
3112 | Correspondence | Letters & Comments | Documents with letters to and from agencies and entities. |
3114 | Decision (EU) | Regulations | Document that confirms the agency's final decisions that arise from proceedings by an agency to enforce its rules. |
3115 | Final Decision | Enforcements | |
3128 | Commissioner's Order | Guidance | |
3132 | Injunction Order | Enforcements | |
3142 | Financial Sanction | Enforcements | |
3145 | Instruction | Guidance | |
3151 | Act | Legislation | Document with legislation which has passed both chambers of Congress in identical form, been signed into law by the president, or passed over his veto, thus becoming law. |
3158 | Response | Letters & Comments | |
3159 | Comment | Letters & Comments | Document with comments made by stakeholders to any proposed rule, guideline, regulation, etc. |
3166 | Disciplinary Action | Enforcements | Document issued by an agency to inform a person or entity of a disciplinary action because they were unable to follow the policies or expectations set by the agency. |
3167 | Regulatory Alert | Agency Updates | Documents published in the Federal Register and open for comment that may significantly affect small businesses. |
3172 | Annual Report | Reports | Document with a comprehensive report on an agency or entity's activities throughout the preceding year, intended to give interested people information about its activities and financial performance. |
3174 | Enforcement | Enforcements | Documents related to legal disposition taken by an agency against a person or entity for violating a law or regulation that is under the purview of the agency. |
3178 | Statistics | Reports | |
3184 | Bulletin | News | Document with issued by an agency or entity with a brief public notice issuing usually from an authoritative source |
3204 | Newsletter | News | Document issued by an agency or entity containing news concerning of its activities that is sent to its members, customers, employees or other subscribers. |
3208 | Circular | Guidance | Document with a written statement of government policy that often provide information, guidance, rules, and background information on legislative or procedural matters. |
3216 | Consent Order | Enforcements | Document that confirms an agreement or settlement that resolves a dispute between two parties without admission of guilt or liability |
3221 | Market Conduct Examination Report | Enforcements | Document containing the findings of examinations of licensed insurance companies that evaluate insurers' compliance with the law with respect to rating, underwriting, and claim practices. |
3228 | Emergency Rule | Regulations | Document with rules promulgated due to an immediate danger to the public health, safety or welfare. |
3229 | Proclamation | Agency Updates | |
3230 | Executive Order | Regulations | Document with a means of issuing federal directives in the United States, used by the president of the United States, that manages operations of the federal government. |
3241 | Statute | Legislation | Document with a formal written enactment of a legislative authority that governs the legal entities of a city, state, or country by way of consent. |
3243 | Advice | Agency Updates | Document issued by an agency to assist in formulating regulations. |
3246 | Judgement | Enforcements | Document that confirms a court's final judgment. |
3256 | Settlement Agreement | Enforcements | Document that confirms a contractual agreement between parties to actual or potential litigation by which each party agrees to a resolution of the underlying dispute. |
3258 | Law | Legislation | Document with a set of rules and regulations that are indispensable and must be followed because they are the product of the legislative process. |
3262 | Revocation Order | Enforcements | |
3270 | Statement | Agency Updates | Document published by an agency or entity to communicate a position or provide explanations to current situations. |
3276 | Enforcement Notice | Enforcements | |
3279 | Report | Reports | Document issued by an agency or entity that present data and information in an organized format about the agency activities or findings that are relevant for the public and regulated entities. |
3282 | Opinion | Guidance | Document issued by an agency on matters that are deemed of general interest to the bar or for general inquiries relating to a particular set of facts. |
3284 | Announcement | News | Document issued by an agency or entity with a public declaration of something related to the industry or important for stakeholders. |
3286 | Enforcement Order | Enforcements | |
3305 | Letter | Letters & Comments | Document with a written or printed communication addressed to a person, agency or entity and usually transmitted by mail. |
3307 | Rulemaking | Regulations | |
3309 | Final Order | Enforcements | Document that confirms a court or agency's final order. |
3313 | Rate Filing | Guidance | |
3318 | Press Release | News | Document published by an agency with an official statement delivered to members of the news media for the purpose of providing information, an official statement, or making an announcement. |
3322 | Guide | Guidance | |
3354 | Ordinance | Regulations | Document with a law passed by a local political subdivision, such as a city, county, village, or town. |
3355 | Rule | Regulations | Document with government statements that carry out or explain law or policy, or describe an agency's organization or procedures. |
3358 | Consultation Paper | Regulations | Document that is put out by the Government for public comment and feedback |
3359 | Lawmaking | Legislation | |
3361 | Fact Sheet | Agency Updates | |
3365 | News | News | Documents that comprise mainstream and industry-specific news updates that are relevant for consumers and regulated entities. |
3371 | Blog | News | Document with an extract of information posted by an agency or entity in a blog section of its website. |
3373 | Handbook | Guidance | Document issued by an agency that sets out the rules and guidance made by that agency. |
3378 | Advisory Letter | Guidance | |
3380 | International Treaty | Legislation | Document that is a formal and binding written agreement entered into by actors in international law, usually sovereign states and international organizations |
3381 | Suspension Order | Enforcements | |
3382 | FAQ | Guidance | Document issued by an entity with Frequently Asked Questions |
3384 | News Release | News | |
3395 | Implementation Plan | Guidance | |
3441 | Administrative Letter | Enforcements | |
3443 | Agency Update | Agency Updates | Documents published by an agency to notify all persons and entities that are regulated by it on matters that concern the agency’s administration. |
3445 | Administrative Order | Regulations | |
3446 | Cease and Desist | Enforcements | Document sent to an individual or entity to stop purportedly illegal activity and not to restart it. |
3447 | Consumer Alert | Agency Updates | Documents issued by an agency that are meant to make the public aware of a current scam or fraud being committed. |
3448 | Ruling | Guidance | |
3449 | Engrossed Bill | Legislation | |
3450 | Enrolled Bill | Legislation | Document with the final copy of a bill or joint resolution which has passed both houses of Congress in identical form. |
3451 | Feedback Statement | Letters & Comments | Document issued by an agency that responds to the views they received, within the scope of their regulatory responsibilities. |
3455 | Form | Agency Updates | Document published by an agency or entity with spaces in which to write or select, for a series of documents with similar contents. |
3462 | Guidance | Guidance | Documents published by agencies that help explain their programs and policies or communicate other important information to regulated entities and the public. |
3463 | Guidance Notice | Notices | |
3464 | No Action Letter | Guidance | Document with a letter written by the staff of an agency, requested by an entity subject to regulation by that agency, indicating that the staff will not recommend that the agency take legal action against the entity, should the entity engage in a course of action proposed by the entity through its request for a no-action letter. |
3465 | Interpretive Statement | Guidance | Document with a written expression of the opinion of an agency, entitled an interpretive statement by the agency head or its designee, as to the meaning of a statute or other provision of law, of a court decision, or of an agency order. |
3466 | Introduced Bill | Legislation | |
3467 | Policy Statement | Regulations | Document with a declaration of a government's political activities, plans and intentions relating to a concrete cause or, at the assumption of office, an entire legislative session. |
3470 | Publication | Agency Updates | Document issued by an agency, entity or organization to communicate relevant information to the public. |
3471 | Consultation | Regulations | Document issued by an agency to start a discussion before making decision. |
3472 | Notice | Notices | Documents that are published by an agency to notify the public on regulatory updates related to a law or an industry. |
3473 | Regulatory Agenda | Agency Updates | |
3474 | Regulatory Order | Regulations | |
3485 | Standard | Regulations | |
3486 | Statistical Data Set | Agency Updates | Documents that provide access to data set of statistical information. |
3487 | Supporting Document | Agency Updates | |
3488 | Checklist | Guidance | |
3489 | Enforcement Reports | Reports | Document published by an agency containing summaries of its enforcement rulings. |
43 | Waivers And CRR Notice | Notices | Documents issued by the FCA that are variations to Handbook rules and allows regulated entities to comply with a rule amended to fit their circumstances. |
476 | Exemptive Letter | Letters & Comments | |
50 | US Code | Regulations | Document with part or the entire official compilation and codification of the general and permanent federal statutes of the United States. |
56 | SR Letter | Guidance | Document that address significant policy and procedural matters related to the Federal Reserve System's supervisory responsibilities. |
61 | CFR Navigation | Regulations | Document with the codification of the general and permanent rules and regulations published in the Federal Register by the executive departments and agencies of the federal government of the United States. |
65 | State Code | Regulations | Document with part or the entire official compilation and codification of the general and permanent local statutes of each one of the States of United States. |
688 | Regulation | Legislation | |
69 | Supervisory Statement | Guidance | Documents that are aimed at facilitating firm and supervisory judgement in determining whether they meet rules expectations. |
70 | Administration Instrument | Guidance | Document issued by an agency to ensure that rules are correct, presented clearly and contain up-to-date references. |
71 | US Public Law | Legislation | Document with a public bill or joint resolution that has passed both chambers and been enacted into law. |
75 | Prudential Regulation | Regulations | Document with a type of financial regulation that requires financial firms to control risks and hold adequate capital as defined by capital requirements, liquidity requirements, by the imposition of concentration risk limits, and by related reporting and public disclosure requirements and supervisory controls and processes. |
77 | CFR | Regulations | Document with the codification of the general and permanent rules and regulations published in the Federal Register by the executive departments and agencies of the federal government of the United States. |
87 | BSA/AML | Agency Updates | The Bank Secrecy Act / Anti-Money Laundering rules (BSA/AML) requires U.S. financial institutions to assist the U.S. government to detect and prevent money laundering and fraud. |
887 | Business Plan | Agency Updates | Document containing business goals, the methods on how these goals can be attained, and the time frame within which these goals need to be achieved. |
905 | Conference | Events | Documents related to a conference held by an agency or entity, or the slides with the content of that conference. |
97 | Cybersecurity | Agency Updates | Documents related to a cybersecurity practices, technologies, or techniques. |