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


FINRA enforcements decreased 70% over the past 30 days


CME issued enforcements: $1,241,754.92 over the past 30 days


161 Final Rules go into effect in the next 30 days


27 Mortgage Lending docs published in the last 7 days


1460 docs with 2637 extracted obligations from the last 7 days


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


2526 new docs in pro.compliance.ai within the last 7 days


Considering RCM Solutions?  Here’s an RFP to get started.


Compliance.ai continues to introduce new features that help our clients manage regulatory change management processes and workflows more efficiently and find the most relevant regulatory content to help optimize enterprise-wide compliance activities. 

Establish your Business Profile to begin searching more efficiently.

Recently we introduced you to Compliance.ai Business Profiling. Now, we’ve added the ability for you to manage your organization’s regulatory content filters at multiple levels: Org level, Team level and Individual level.. This allows organization admins to tune users’ defaults at the team level to eliminate noise for members of your organization who focus on specific geographies, lines for business, or functional areas. For example, you can set up your US risk team and Canada compliance teams to follow different topics, concepts, jurisdictions, agencies and even documents types.

Watch this short video to see how you can take advantage of team-level defaults. 

As a logged in Pro/Team user, you can access Business Profiling here

Simplify your searches with Compliance.ai Concepts

We’re continuing to expand our inventory of Concepts to help you focus on regulatory changes that affect you and your business unit. You can use the Concepts filter in Basic, Advanced, and now Jurisdiction Analyzer to check out our new Covid-19, Investment Advisor, ETF, Mortgage Lending, Technology, and other new concepts. 

Take advantage of workflow enhancements

Based on your feedback  regarding increased collaboration capabilities, we’ve introduced several enhancements to improve your workflow experience. Want to annotate a fragment of a sentence? Now, you can add an annotation or an obligation referencing a specific part of a sentence for greater clarity. Need more options to communicate with your colleagues in Compliance.ai? Threaded comments are now available within Annotations as well as within Tasks.

We’ve also added a visual indicator on required task annotations so it’s easy to see exactly what you need to do to complete each step in your workflow.

Revamped Notifications makes it easy to find the alert you need

Whether you attach them to your workflows, or use them as a trigger to log into the platform so you can review key new documents, notifications are central to your experience in Compliance.ai. To help you manage, edit, share, and create widgets based on your alerts, we’ve redesigned the notifications page. With our new design, you can take advantage of “Filter” to easily locate alerts, sort to find the most recently edited alerts, and see who created the alert. Plus, pagination ensures you can manage any number of alerts.

Introducing New Expert Connections Partners, CastleHill Risk and RegComp Financial

CastleHill Risk

Compliance.ai now includes CastleHill Risk as an Expert connection. As a partner of RSA Archer, ProcessUnity, LogicGate and MetricStream, they provide complete implementation support from planning to post-implementation. They offer Professional and Advisory Services, GRC as a Service, GRC Managed Services whether you need to build your program from the ground up or are looking for strategic solutions to emerging risk management challenges. https://castlehillrisk.com/

RegComp Financial

Compliance.ai also includes RegComp Financial as an expert connection. RegComp Financial is a specialized regulatory compliance consulting firm dedicated to supporting investment advisers, private funds, and broker dealers. As former regulators and in-house senior staff, they understand the specific regulatory needs and critical policy issues relevant to PE/VC, RIAs, ERAs, Hedge Funds and Broker Dealers. https://www.regcompfinancial.com/

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

Developer Platform Enhancements

Search API results now support using a secondary sort input in addition to the primary sort. We’ve added consistency in returned results for repeated/identical requests.

Expanding Regulatory Coverage

Compliance.ai continues to deepen its coverage of International regulators, including most relevant regulators for every Canadian province, as well as its key BFSI-related federal rulemakers. Additionally, we have expanded regulatory coverage for  Argentina, Australia, China, Germany, Japan, and Singapore. 

In addition to adding new sources globally, we’ve added critical US sources for you in Resources > US > Other, including:

  • Fannie Mae Selling Guide
  • Nacha Operating Rules, 2021*
  • Nacha Operating Guidelines, 2021*

Please visit our complete list of regulatory sources, and bookmark that page as we update it frequently!

These new resources are presented in accordion style format for easy, focused review.

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.

Please contact our support team with any questions. Remember that you can always access our product guides under the Support section of the product 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.

*Contact Compliance.ai to gain access to Nacha Operating Rules & Guidelines on our platform.

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