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

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FINRA enforcements increased 21% over the past 30 days

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FTC issued enforcements: $8,726,254.27 over the past 30 days

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165 Final Rules go into effect in the next 30 days

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55 Mortgage Lending docs published in the last 7 days

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5330 docs with 12540 extracted obligations from the last 7 days

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

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11627 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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NEW BRANDING - Blog Post and Advisor Templates

Personalize your regulatory change experience with Compliance.ai’s newest features. Try our new widgets to create your own Regulatory Command Center on your Dashboard. Plus, fine tune your workflows even further to meet your organization’s specific requirements.  .  And, of course, all of these activities are captured in an audit trail, which reduces the time you need to prepare for audits and exams.

Optimized Regulatory Command Center
Compliance.ai has delivered a  new “create a widget” capability so that you can fine-tune your Dashboard to meet your exact criteria. Simply search, turn on an alert, and then select “Create Widget” from the Notifications page. A new widget that matches your specified search terms  will automatically appear on the Dashboard so you get the information you need most right on your home page! 

Compliance professionals who follow specific acts or regulations can also take advantage of our new Acts and Regulations widget.  Simply edit the new “Regulation” widget to follow any Regulation or Act available within the solution. The widget will surface all documents that reference the act or regulation in question.  In addition, you can eliminate the noise from too many documents associated with the act or regulation by choosing to surface only certain highly consequential documents such as Proposed Rules or Agency Updates.

Propel Workflow Management
Manage your team’s workload right from the Dashboard with our new “Task Velocity” widget. Check task completion status by assignee and workflow, or across the organization as a whole to allocate your resources effectively. 

In addition to our new online reporting capabilities, we’ve also added threaded comments to help you collaborate on tasks. Now, anyone on the team can add a reply to a comment within your workflow tasks to provide additional details or sign off when necessary.

Improved Real-Time Insights
Check Compliance.ai’s Insights reports to stay in the know about important compliance and risk trends. Review data across key G20 agencies or focus only on agencies you follow in your Default Filters for a more personalized view. Exporting the charts and including them in presentations is a great way of demonstrating your awareness of critical regulatory information.

Developer Platform Enhancements
Compliance.ai continues to enhance the Search endpoint for the Developer API by adding new parameters and improving the documentation. Now, you can get more granular data from Enforcement documents by using the new filters Individual Respondent  and/or Entity Respondent in addition to the existing Monetary Penalty filter.  Documentation for the Search Response Schema has also been updated to reflect these new fields, and provide clarifications for retrieving obligations from search results.

You can start creating and testing your own document searches using our Interactive API any time.

Introducing New Expert Connections Partner, Exemplar Companies PBC
Compliance.ai now includes Exemplar Companies PBC, an integrated tax, law, compliance, capital and strategy professional services firm, as the newest member of the Compliance.ai Expert Connection Network. Exemplar’s customers include the best and brightest companies and business leaders of the day who are poised to revolutionize industries and create the sector leaders of tomorrow. Exemplar’s dedication to practice innovation and close collaboration with our customers offers a powerful competitive advantage and a valuable partnership. 

Members of the network are referenced within Compliance.ai as subject matter experts for specific types of regulatory documents.

New Topic: Leasing

Take advantage of Compliance.ai’s combination of Expert-in-the-Loop and Machine Learning assessments to concentrate your searches on documents that match key financial service industry topics, including our newest topic, leasing. 

New Content
Compliance.ai continues to expand its coverage of jurisdictions around the globe including new agencies/sources in: Argentina, Australia, Barbados, British Virgin Islands, France, Germany, Hong Kong, Luxembourg, Mexico, Panama, Russia, and Singapore. Compliance.ai also continues to add more coverage of Canadian agencies not only at a federal level such as FINTRAC, CRA, OPC, among others, but also provincial, adding coverage of agencies from Alberta, British Columbia, Ontario, and Quebec.  

Update your Default Filters at any time to take advantage of our new international sources.

I hope you enjoyed this update from the product team.

If you’re a current user, please contact support with any questions or see our product guides under Support for more information.

If you’re not yet using Compliance.ai, please feel free to schedule a demo with one of our specialists to see how RegTech can transform the way you work.

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