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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:

Export CSV (last updated 05/30/23)
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.
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.
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.
1176 Working Paper Research & Papers Document published by an agency or entity that shows a pre-publication versions of Papers, reports, research, etc.
140 Mortgagee Letter Guidance
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.
1580 Supervisory Report Reports
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.
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.
2108 Final Report Reports Document issued by an agency or entity summarizing the outcomes of a study, project or investigation.
2119 Testimony Agency Updates Document presenting a transcription or summary of a expert testimony presented to Congress, or an agency, on public policy issues.
2266 Audit Reports Document about an independent examination of financial information of any entity.
2271 Investor Alert 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
2546 Budget Agency Updates
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
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.
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.
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
3145 Instruction Guidance
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.
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
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.
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.
3246 Judgement Enforcements Document that confirms a court's final judgment.
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
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.
3307 Rulemaking Regulations
3309 Final Order Enforcements Document that confirms a court or agency's final order.
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.
3358 Consultation Paper Regulations Document that is put out by the Government for public comment and feedback
3361 Fact Sheet Agency Updates
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.
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
3441 Administrative Letter Enforcements
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
3488 Checklist Guidance
3514 National Instrument Legislation
3601 Order Enforcements Document outlining a determination made by a court without issuing a legal opinion.
3603 Public Act Legislation Document with an act or statute affecting matters of public concern
3604 Guide Guidance
3609 Statistical Data Set Agency Updates Documents that provide access to data set of statistical information.
3614 Regulation (EU) Legislation
3655 Directive (EU) Regulations
3675 Rule Regulations Document with government statements that carry out or explain law or policy, or describe an agency's organization or procedures.
3683 Injunction Order Enforcements
3696 Opinion Letter Guidance Document with a formal expression of a judgment or advice based on an expert's special knowledge.
3697 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.
3724 Research Publication Research & Papers Document issued by an agency, entity or organization to communicate relevant research findings.
3733 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.
3808 Advisory Letter Guidance
3809 Advisory Opinion Guidance
3813 Determination Guidance
3814 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.
3818 Financial Sanction Enforcements
3821 Implementation Plan Guidance
3827 Regulatory Order Regulations
3828 Response Letters & Comments
3829 Risk Alert Agency Updates
3856 Position Paper Notices
3898 Directive Regulations
3899 Enforcement Notice Enforcements
3914 Guidance Notice Notices
3915 Letter Letters & Comments Document with a written or printed communication addressed to a person, agency or entity and usually transmitted by mail.
3916 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.
3917 Memorandum Letters & Comments
3918 News News Documents that comprise mainstream and industry-specific news updates that are relevant for consumers and regulated entities.
3919 Notice Notices Documents that are published by an agency to notify the public on regulatory updates related to a law or an industry.
3921 Proclamation Agency Updates
3925 Rate Filing Guidance
3926 Regulatory Alert Agency Updates Documents published in the Federal Register and open for comment that may significantly affect small businesses.
3929 Standard Regulations
3930 Statement Agency Updates Document published by an agency or entity to communicate a position or provide explanations to current situations.
3931 Supervisory Guidance Guidance Document that outlines the agencies’ supervisory expectations, priorities, and general views regarding appropriate practices.
3936 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.
3937 Enforcement Order Enforcements
3939 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.
3940 Feedback Statement Letters & Comments Document issued by an agency that responds to the views they received, within the scope of their regulatory responsibilities.
3946 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.
3948 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.
3950 PRA Statement Notices
3961 Enforcement Decision Enforcements
3967 Tax Rate Agency Updates
3983 Resolution Agency Updates
4027 Amendment Regulations
4028 Cease and Desist Enforcements Document sent to an individual or entity to stop purportedly illegal activity and not to restart it.
4029 Consultation Regulations Document issued by an agency to start a discussion before making decision.
4030 Corporate Document Agency Updates
4031 Decision Notice Enforcements Document with a written notice of a decision by an agency regarding an entity or individual’s eligibility.
4032 Enforcement Report Reports Document published by an agency containing summaries of its enforcement rulings.
4033 Engrossed Bill Legislation
4035 Enrolled Bill Legislation Document with the final copy of a bill or joint resolution which has passed both houses of Congress in identical form.
4036 Event Events Documents describing the details of an event held by an agency.
4040 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.
4042 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.
4044 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.
4050 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.
4051 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.
4059 Supervisory Letter Guidance Document that address significant policy and procedural matters related to the Federal Reserve System's supervisory responsibilities.
4060 Supporting Document Agency Updates
4061 Termination Order Enforcements
4091 Administrative Order Regulations
4092 Advice Agency Updates Document issued by an agency to assist in formulating regulations.
4095 Amended Bill Legislation
4096 Announcement News Document issued by an agency or entity with a public declaration of something related to the industry or important for stakeholders.
4097 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.
4098 Decree Legislation
4101 Enrolled And Enacted Bill Legislation
4102 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.
4104 Industry Letter Guidance Document issued by and agency in connection with the proposal or adoption of particular regulations within an industry.
4107 Introduced Bill Legislation
4108 Lawmaking Legislation
4110 Ordinance Regulations Document with a law passed by a local political subdivision, such as a city, county, village, or town.
4112 Guidance Guidance Documents published by agencies that help explain their programs and policies or communicate other important information to regulated entities and the public.
4114 Publication Agency Updates Document issued by an agency, entity or organization to communicate relevant information to the public.
4115 Recommendation Guidance
4116 Regulatory Agenda Agency Updates
4117 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.
4119 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.
4121 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.
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.
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.
905 Conference Events Documents related to a conference held by an agency or entity, or the slides with the content of that conference.
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