Category (Document Type) Definitions

Category Type allows users to filter based on a particular or specified set of Document Types. Here is a list of definitions for each document type available in Compliance.ai. Please note that this list is periodically update, so it may be missing definitions for certain document types.

Meta Category Category (Document Type) Definition
Agency Updates N/A Documents published by an agency to notify all persons and entities that are regulated by it on matters that concern the agency’s administration.
Agency Updates Administration Instrument Document issued by an agency to ensure that rules are correct, presented clearly and contain up-to-date references.
Agency Updates Advice Document issued by an agency to assist in formulating regulations.
Agency Updates Advisory Visit Document published by an agency informing that it has carried out an advisory visit, that are a one day informal visit to look at how an organization handles personal information.
Agency Updates Agency Update Documents published by an agency to notify all persons and entities that are regulated by it on matters that concern the agency’s administration.
Agency Updates Approach Document Document issued by an Agency that sets out how to pursue specific agency objectives.
Agency Updates Audit Document about an independent examination of financial information of any entity.
Agency Updates Bill Analysis Document that contains a summary of a bill written in layman's terms.
Agency Updates BSA/AML 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.
Agency Updates Business Plan 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.
Agency Updates Closed Consultation Document that was issued by an agency to start a discussion before making decision but that is now closed to more opinions.
Agency Updates Consultation Document issued by an agency to start a discussion before making decision.
Agency Updates Consultation Outcome Document issued by an agency that sets out the conclusions of a consultation.
Agency Updates Consultation Response Document issued by an agency answering or commenting the opinions given in consultation.
Agency Updates Consultative Document Document issued by an agency answering or commenting on the opinions given in consultation.
Agency Updates Consumer Alert Documents issued by an agency that are meant to make the public aware of a current scam or fraud being committed.
Agency Updates Consumer Financial Protection Update Documents issued by the Consumer Financial Protection Bureau
Agency Updates Corporate Document Documents of an entity filed with the relevant agency and other internal documents of that entity.
Agency Updates Cybersecurity Documents related to a cybersecurity practices, technologies, or techniques.
Agency Updates FAQ Document issued by an entity with Frequently Asked Questions
Agency Updates Financial Stability Document published periodically that review the nature,
magnitude and implications of risks on the macroeconomic environment, financial institutions, markets and infrastructure.
Agency Updates FOI Release Document issued by an agency in response to a freedom of information request.
Agency Updates Form Document published by an agency or entity with spaces in which to write or select, for a series of documents with similar contents.
Agency Updates Inter-Agency Agreement Document, generally between government agencies and departments, that defines cooperative work between them.
Agency Updates Internal Document Document is used to support the processes of an agency.
Agency Updates International Treaty Document that is a formal and binding written agreement entered into by actors in international law, usually sovereign states and international organizations
Agency Updates Memorandum Document used for internal communication in a agency.
Agency Updates Memorandum of Understanding 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.
Agency Updates Monetary Policy Committee Documents that refers to the actions undertaken by a nation's central bank to control money supply to achieve macroeconomic goals that promote sustainable economic growth.
Agency Updates Mortgage Lending 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.
Agency Updates Note Documents with information for entities or persons.
Agency Updates Official Statisstics Documents that provide a picture of an agency or related information through data, and images such as graph and maps.
Agency Updates Op-Ed Document typically published by a newspaper or magazine which expresses the opinion of an author usually not affiliated with the publication's editorial board.
Agency Updates Open Consultation Document that was issued by an agency to start a discussion before making decision and that is open to comments.
Agency Updates Opinion 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.
Agency Updates PPI Corporate Document Documents related to payment protection insurance that is a kind of coverage that pays out a sum of money to help the consumer to cover monthly repayments on mortgages, loans, credit/store cards, or catalog payments if unable to work.
Agency Updates PRA Regulatory Digest Document issued by the Prudential Regulation Authority that highlights key regulatory news and publications delivered for the month.
Agency Updates Presidential Document Presidential documents include Executive Orders and proclamations, as well as other documents such as determinations, letters, memorandums, and reorganization plans issued by the President of the United States of America.
Agency Updates Principles Documents explaining a non‐binding set of best practice guidelines governing a specific agency or industry.
Agency Updates Promotional Document published by an agency or company relating to the publicizing of a product, organization, or venture so as to increase sales or public awareness.
Agency Updates Proposal Document that announces and explains the agency's plan to address a problem or accomplish a goal.
Agency Updates Publication Document issued by an agency to communicate relevant information to the public
Agency Updates Regulatory Alert Documents published in the Federal Register and open for comment that may significantly affect small businesses.
Agency Updates Regulatory Digest Document issued by the Prudential Regulation Authority that highlights key regulatory news and publications delivered for the month.
Agency Updates Regulatory Statement Documents issued by an agency about its regulatory framework.
Agency Updates Risk Alert Document alerting about risk impacting a industry or activity.
Agency Updates Speech Document presenting a transcription or summary of a speech given by an official or relevant person in the industry.
Agency Updates Sponsor Notice Document issued as a part of the sponsor supervisory process of the FCPA.
Agency Updates Statement Document published by an agency or entity to communicate a position or provide explanations to current situations.
Agency Updates Statistical Data Set Documents that provide access to data set of statistical information.
Agency Updates Supervisory Statement Documents that are aimed at facilitating firm and supervisory judgement in determining whether they meet rules expectations.
Agency Updates Testimony Document presenting a transcription or summary of a expert testimony presented to Congress, or an agency, on public policy issues.
Agency Updates Undertaking Document that present an assurance by one party to another party that they will fulfill the obligation that had been previously agreed on, but not written into a contract.
Enforcements N/A 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.
Enforcements Administrative Order Document issued by an  agency such directing an individual, business, or other entity to take corrective action or refrain from an activity.
Enforcements Cease and Desist Document sent to an individual or entity to stop purportedly illegal activity and not to restart it.
Enforcements Civil Money Penalty Document related to a fine issued in civil court which penalizes a violator who profited from an illegal or unethical action.
Enforcements Complaint 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.
Enforcements Consent Order Document that confirms an agreement or settlement that resolves a dispute between two parties without admission of guilt or liability
Enforcements Decision Document that confirms the agency's decisions that arise from proceedings by an agency to enforce its rules.
Enforcements Disciplinary Action 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.
Enforcements Enforcement 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.
Enforcements Final Decision Document that confirms the agency's final decisions that arise from proceedings by an agency to enforce its rules.
Enforcements Final Judgement Document that confirms the final decision of a court regarding the rights and liabilities of parties in a legal action or proceeding.
Enforcements Final Notice  Document issued by the agency as a final warning that if an obligation is not met by a specific date legal action will be taken
Enforcements Final Order Document that confirms a court or agency's final order.
Enforcements Final Sanction Document that confirms a court or agency's final sanction.
Enforcements Judgement Document that confirms a court's final judgment.
Enforcements Monetary Penalty Document related to a monetary payment ordered or imposed by a court or any other entity, whether through a judgment, order, settlement agreement, etc.
Enforcements Notice of Intent Document outlining the understanding between two or more parties which understanding they intend to formalize in a legally binding agreement.
Enforcements Order Document outlining a determination made by a court without issuing a legal opinion.
Enforcements Prohibition from Banking Document related to a  severe type of enforcement action issued when an individual affiliated with a bank violates a law, C&D, or condition imposed in writing or engages in unsafe or unsound banking practices.
Enforcements Settlement Agreement 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.
Events N/A Documents describing the details of an event held by an agency.
Events Conference Documents related to a conference held by an agency or entity, or the slides with the content of that conference.
Events Event Documents describing the details of an event held by an agency.
Events Meeting Minutes Document with an official record of a meeting for its participants and a source of information for people who were unable to attend.
Events Seminar Documents related to a seminar held by an agency or entity, or the slides with the content of that conference.
Events Workshop Documents related to a workshop held by an agency or entity, or the slides with the content of that conference.
Guidance N/A Documents published by agencies that help explain their programs and policies or communicate other important information to regulated entities and the public.
Guidance Examination Manual Document that contains procedures and guidance for examining entities regarding specific subject or issues.
Guidance Finalised Guidance Document that sets out the actions that an agency believe entities should consider to comply with the law or regulations.
Guidance Guidance Documents published by agencies that help explain their programs and policies or communicate other important information to regulated entities and the public.
Guidance Guidance Consultation Document issued by an agency to start a discussion about a guidance document before making decision.
Guidance Guideline 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.
Guidance Handbook Document issued by an agency that sets out the rules and guidance made by that agency.
Guidance Industry Letter Document issued by and agency in connection with the proposal or adoption of particular regulations within an industry.
Guidance Interpretive Statement 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.
Guidance Manual Document issued by an agency that sets out the instructions and steps to fulfill a specific goal.
Guidance Opinion Letter Document with a formal expression of a judgment or advice based on an expert's special knowledge.
Guidance Policy and Guidance Document issued by the agency with reference materials, and answers to technical questions relating to the agency
Guidance Servicing Guide Document issued by an entity that guide the servicing policies.
Guidance Statutory Guidance Document issued by an agency that sets out what entities or individuals must do to comply with the law.
Guidance Supervisory Guidance Document that outlines the agencies’ supervisory expectations, priorities, and general views regarding appropriate practices.
Legislation N/A Law which has been promulgated by state or federal legislature or other governing bodies. The documents range from being proposed legislation to final Acts and Statues.
Legislation Act 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.
Legislation Bill Document with a proposed legislation under consideration by a legislature.
Legislation Enrolled Bill Document with the final copy of a bill or joint resolution which has passed both houses of Congress in identical form.
Legislation Law Document with a  set of rules and regulations that are indispensable and must be followed because they are the product of the legislative process.
Legislation Public Act Document with an act or statute affecting matters of public concern
Legislation Statute 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.
Legislation US Code Document with part or the entire official compilation and codification of the general and permanent federal statutes of the United States.
Legislation US Public Law  Document with a public bill or joint resolution that has passed both chambers and been enacted into law.
Letters & Comments N/A Documents issued by agencies or agencies' officers addressing the general public or commenting about laws, regulations, and policies related to the regulated industry.
Letters & Comments Calls for input Document with  public invitations for views, evidence, examples and proposals from all interested stakeholders.
Letters & Comments Comment Document with comments made by stakeholders to any proposed rule, guideline, regulation, etc.
Letters & Comments Consumer Affair Letters Documents that address significant policy and procedural matters related to the Federal Reserve System’s consumer compliance supervisory responsibilities.
Letters & Comments Correspondence Documents with letters to and from agencies and entities.
Letters & Comments Feedback Statement Document issued by an agency that responds to the views they received, within the scope of their regulatory responsibilities.
Letters & Comments Interpretive Letter Documents that provide general guidance on the agency staff's views as to the application of particular  rules under specific circumstance.
Letters & Comments Letter Document with a written or printed communication addressed to a person, agency or entity and usually transmitted by mail.
Letters & Comments Letters to Credit Union Documents that provide guidance on specific policies and procedures, compliance, governance, and other timely issues that affect all federally insured credit unions.
Letters & Comments Letters to Federal Credit Unions Documents that provide guidance on specific policies and procedures, compliance, governance, and other timely issues that affect only credit unions with a federal charter.
Letters & Comments Mortgage Letter Document with an agreement between a buyer and their lender outlining the agreed-upon terms of a mortgage.
Letters & Comments No Action Letter 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.
Letters & Comments Response Document that provides the answers or information requested in a letter of inquiry.
Letters & Comments SR Letter Document that address significant policy and procedural matters related to the Federal Reserve System's supervisory responsibilities.
Letters & Comments Supervisory Letter Document that address significant policy and procedural matters related to the Federal Reserve System's supervisory responsibilities.
News N/A Documents that comprise mainstream and industry-specific news updates that are relevant for consumers and regulated entities.
News Announcement Document issued by an agency or entity with a public declaration of something related to the industry or important for stakeholders.
News Blog Document with an extract of information posted by an agency or entity in a blog section of its website.
News Bulletin Document with issued by an agency or entity with a brief public notice issuing usually from an authoritative source
News Mainstream News Document with information from conventional newspapers, television and other news sources that most people in the industry know about and regard as reliable.
News Media Release 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.
News News Documents that comprise mainstream and industry-specific news updates that are relevant for consumers and regulated entities.
News News Release 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.
News Newsletter Document issued by an agency or entity containing news concerning of its activities that is sent to its members, customers, employees or other subscribers.
News Press Release 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.
Notice Documents that are published by an agency to notify the public on regulatory updates related to a law or an industry.
Notice Cancellation Notice Document with a written notice of the forthcoming cancellation of a contract or agreement.
Notice Decision and Notice
Notice Decision Notice Document with a written notice of a decision by an agency regarding an entity or individual’s eligibility.
Notice Notice Documents that are published by an agency to notify the public on regulatory updates related to a law or an industry.
Notice Requirement Notice Document issued by the Financial Conduct Authority (FCA) requiring a firm to carry out a “skilled person review”.
Notice Supervisory Notice Document with a notice given by the appropriate regulator in accordance with the  Financial Services and Markets Act 2000.
Notice Waivers and CRR Notice 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.
Notice Warning Notice Document published by the FCA when they propose to take action.
Regulations N/A Documents issued by agencies to carry out the intent of legislation enacted by Congress.
Regulations CFR 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.
Regulations CFR Navigation 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.
Regulations Circular Document with a written statement of government policy that often provide information, guidance, rules, and background information on legislative or procedural matters.
Regulations Consultation Paper Document that is put out by the Government for public comment and feedback
Regulations Emergency Rule Document with rules promulgated due to an immediate danger to the public health, safety or welfare.
Regulations Executive Order 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.
Regulations Ordinance Document with a law passed by a local political subdivision, such as a city, county, village, or town.
Regulations Policy Statement 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.
Regulations Proposed Rule Document that announces and explains the agency's plan to address a problem or accomplish a goal.
Regulations Prudential Regulation 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.
Regulations Public Consultation Document related to a regulatory process by which the public's input on matters affecting them is sought.
Regulations Regulatory Agenda Item Document issued by an agency with a report describing regulations currently under development or recently completed.
Regulations Rule Document with government statements that carry out or explain law or policy, or describe an agency's organization or procedures.
Regulations Standards Document issued by agencies or entities with a common set of principles, standards, and procedures that define the basis of policies and practices.
Regulations State Code 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.
Regulations Statement of Policy 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.
Regulations Unified Regulatory Agenda Document that contains the collection of all agencies' agendas with an introduction prepared by the Regulatory Information Service Center facilitated by the General Service Administration.
Reports N/A Documents issued by agencies that present data and information in an organized format about the agency activities or findings that are relevant for the public and regulated entities.
Reports Annual Competition Report Document issued by the Prudential Regulations Authority with an annual report setting out how it is delivering against its secondary competition objective and the steps it is taking to drive more competition and innovation in financial services markets and to help ensure that the right incentives exist for new banks to enter the market.
Reports Annual Report 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.
Reports Consultation Report Document published periodically to solicit the views and comments from the stakeholders' community.
Reports Corporate Report 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.
Reports Enforcement reports Document published by an agency containing summaries of its enforcement rulings.
Reports Final Report Document issued by an agency or entity summarizing the outcomes of a study, project or investigation.
Reports Financial Report Document containing formal records of the financial activities and position of an agency or entity.
Reports Impact Assessment Document with a means of measuring the effectiveness of organizational activities and judging the significance of changes brought about by those activities.
Reports Independent Report Documents that present an independent analysis of data and information in an organized format about an agency activities or findings that are relevant for the public and regulated entities.
Reports Inflation Report Document that sets out the detailed economic analysis and inflation projections upon which the bank's Monetary Policy Committee bases its interest rate decisions and presents an assessment of the prospects for U.K. inflation over the following two years.
Reports Insurance 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.
Reports Market Conduct Examination Report 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.
Reports Overview Report Document containing a brief summary of a topic, situation, or plan taken by an agency or entity.
Reports Preliminary Report Document issued by an agency or entity summarizing the preliminary outcomes of a study, project or investigation.
Reports Report 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.
Reports Supervisory reports Document that contains extensive qualitative and quantitative data, excerpts from which are published by FINMA partly in an aggregated form in its annual Report on the insurance market.
Reports Transparency reports Document published annually by FINMA that aims to increase transparency of occupational pension schemes and to positively influence the conduct of private insurers.
Reports Weekly Report Document published by the Bank of England every Thursday and shows positions as at the close of Wednesday, typically disclosing over 90% of its balance sheet by value.
Research & Papers N/A Documents published by agencies with an aim to provide an in-depth perspective on industry matters.
Research & Papers Discussion Paper 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.
Research & Papers National Statistics Document that present analyses of public spending against budgeting and expenditure on services frameworks.
Research & Papers Policy Paper Document containing a research piece focusing on a specific policy issue that provides clear recommendations for policy makers.
Research & Papers Publication Document issued by an agency, entity or organization to communicate relevant information to the public.
Research & Papers Research Documents published by an agency, entity or organization with an aim to provide a systematic investigation into and study of materials and sources in order to establish facts and reach new conclusions.
Research & Papers Research Publication Document issued by an agency, entity or organization to communicate relevant research findings.
Research & Papers Whitepaper 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.
Research & Papers Working Paper Document published by an agency or entity that shows a pre-publication versions of Papers, reports, research, etc.