Welcoming the new year in January 2024, we made updates within our Team and Pro Edition to help you review regulatory content earlier, search and compare regulatory changes more efficiently and enabled permissioning for obligations and workflows. In addition we’ve published more API endpoints, greatly expanding capabilities within our developer API solution.

We also continued enriching and expanding our regulatory coverage, including: regulatory updates for banking, data protection, employment, energy, finance, insurance, legislations, labor, real estate, regulations, securities, taxation, trading, and utilities. Our expanding global coverage includes Austria, Canada, Costa Rica, Chile, China, Colombia, Dominican Republic, European Union, Georgia (New Addition), Germany, Hong Kong, Japan, Kenya (New Addition), Luxembourg, Mexico, Netherlands, Panama, Peru, Poland, Portugal, Spain, Thailand, United Arab Emirates, and the United States.

"Progressive Publication" provides an early look at regulatory documents

We recognize that regulatory compliance teams need to be immediately aware of upcoming regulatory changes to ensure you can begin preparing for changes as early as possible. Unfortunately, some regulatory sources require further review by Compliance.ai subject matter experts (in line with our Experts in the Loop or EITL methodology) which may result in updating or correcting important information such as updated publication date, bill stage, enforcement action details, effective date, and relationships across documents.

To ensure you get an early look at documents that require further subject matter review by the Compliance.ai team, we introduced a new “progressive publishing” process. Previously, regulatory publications that needed further Compliance.ai expert review and verification were hidden and unavailable on our platform to end-users until they were fully reviewed and potentially updated. Now, with progressive publishing, we make documents that are under review available in the Compliance.ai platform with a specific “Pending EITL Review” EITL label. This new filter attribute lets you know that the regulatory document in question is under review and that some of the information has not been fully reviewed and verified yet. Once the review is complete, we update the EITL label to “EITL Review Complete”, to inform you that the review has been completed and any updates have been applied.

To make it easy to distinguish between “Pending EITL Review” and “EITL Review Complete” documents, we added a new EITL label search filter to basic search, advanced search, and our API. If you want your search results to include all documents, regardless of whether or not they have been reviewed, simply leave the label search attribute blank. On the other hand, if you’d rather wait for the completion of our expert review (when required), add “EITL Review Complete” and “None” to the EITL label search option. Note that including “None” is important because the majority of regulatory documents do not require further review and are published immediately, so these documents are never tagged with an EITL label.

Basic Search: Includes only finalized documents

Advanced Search: Includes only finalized documents

Backwards compatibility: To ensure all of your existing alerts function the same way they did before we introduced progressive publishing, we have migrated all alerts to exclude “Pending EITL Review” documents when the feature went live. Editing alerts to ensure you include “Pending EITL Review” documents as part of your alerts is easy. Simply remove the EITL Label filters from your basic or advanced search alert. You can contact us to update alerts to match your preferences for specific scenarios.

Stay up to date on changes to documents with new Docket and Versions right panel tabs

Did you know that you can compare documents within the same docket, such as proposed rules and rules and compare different versions of the same document within Compliance.ai? You may not have noticed the availability of versions before, because previously, both documents within the same docket and document versions were found within the Changes tab. Now, we’ve split the Changes tab into specific Docket and Versions tabs for clarity.

With our new Docket and Versions right panel tabs, you’ll be able to review related documents in a timeline view. For a certain group of consequential regulatory documents you can also compare phrase and sentence level changes over time in a convenient, color coded format.

Note that you can still compare any two sentencified documents on the Compliance.ai platform using our “diffing” feature.

Docket Tab

Versions Tab

Control access to labels, annotations, and now obligations and workflows with the Management Hub

We’ve added two new capabilities to our Management Hub, enabling administrators to permission Obligations and Workflows for different members of their organization using the Compliance.ai Annotations and Labels Management Hub functionality.

Accessing the Management Hub

The Management Hub allows you to group your organization’s information, including labels, annotations, and now obligations and workflows, into logical folders. Once you’ve organized these items, you can share the folders with specific individuals or teams, and specify Edit / View permissions for the shared information. For example, you can create folders that are jurisdictional, line of business based, or topical, and then restrict access to the labels, annotations, obligations and workflows within these folders (View, Edit or both) to specific team members.

As in the Manage Annotations tool, Manage Obligations allows you to search for specific obligations based on text, date created, created by, document ID or label. In addition, you can leverage bulk tools including delete, export and label. The export capability may be very helpful to you if you wish to receive a single CSV or XLSX file including information about obligations across a group of regulatory documents. If you’re just starting to use labeling within Compliance.ai, you will also likely find adding labels in bulk to similar obligations to be a big time saver.

Manage Obligations: Bulk ActionIf you’re already familiar with using the Management Hub for annotations, you’ll notice two key differences between annotations and obligations. Compliance.ai provides system generated obligations identifying likely obligatory language found within regulatory documents. Because Compliance.ai generated obligations are a shared resource for your organization, they cannot be moved from the public folder into a private folder. If members of your organization add obligations, any of these obligations can be moved to match your preferred sharing experience. 

The second key difference relates to the obligations you see represented in the Management Hub. Compliance.ai provides system generated obligations across a wide spectrum of regulatory documents, many of which may not be applicable to your organization. To ensure that you only see obligations you and your colleagues may want to organize, the Management Hub only includes obligations that members of your organization have interacted with by assessing relevance, or adding a label, annotation, attachment, comment or workflow.

Workflows is another new addition to the Management Hub. Organizing your workflows into folders and sharing them will ensure that different members of your organization have optimal access to workflows added to processing regulatory change documents within the Compliance.ai platform. If you want teams or individuals within your organization to be able to View, but not directly interact with a specific workflow, provide View access. If you want teams or individuals to be able to interact with workflow tasks, for example, become the assignee of a task and complete or approve the task, provide Edit access. In addition, only admins with Edit permission will be able to edit the workflow within the Manage Workflow section of the application. 

To move workflows from the Public Folder into team-based folders, simply click on the workflow count to access a special Management Hub view of the Manage Workflows screen. Next, select the workflow(s) you wish to move and click the Move icon. You will receive a popup that allows you to select your preferred folder. You’ll also have the option to move any existing tasks associated with the workflow to your new folder. If you move your tasks, they will follow the permissioning of the new folder. If you don’t move existing tasks, they will continue to be accessible per the permissions of the original folder.

Manage Workflows: Moving Workflows

After moving workflows, new tasks will be accessible only to individuals with View or Edit permission to your selected folder. This will be useful if you have confidential workflows or if multiple teams need to complete workflows on the same regulatory document and you don’t want them to share information.

Unique workflow viewing experiences across your organization

These new capabilities help you maintain both confidentiality and additional focused clarity of purpose specific to different parts of your enterprise with respect to labeling, annotating obligation and workflow management. 

Backwards compatible: If our current labeling, annotations, obligations, and workflow capabilities work well for you, there is no need to take further action. All of your current organization’s labeling, annotations, obligations, and workflow are available to you in a single Public Folder that is accessible to all organization members. Newly created labels, annotations, obligations and workflows are added to the Public Folder by default.

Fine Tune your Searches with new basic and advanced search attributes

New Advanced Search Concept Attribute: Many of our clients already use Concepts, which are predefined searches designed to help you find topical content using a single tag, within your basic and advanced searches. Now, we’ve added a new Concept attribute that provides the convenience of a single value search with the fine-grained query capabilities of our advanced search functionality. The new attribute allows you to convert a search from basic to advanced while maintaining concepts as a single value rather than decomposing them into their constituent parts. This allows you to leverage Concepts more efficiently within advanced search. 

Of course, advanced search still includes the ability to add a Concept right at the top of your advanced search so you can use and modify it to meet your needs.

Advanced Search: Concept Attribute

Advanced Search: Adding a Concept (multi-attribute)

New Attribute: Exclude Federal Register: Various US Federal agencies publish a wide variety of regulatory content in the Federal Register. As such, the Federal Register is an important, wide ranging source for US compliance professionals. In addition, many agencies publish the same documents on their own websites several days earlier than they are made available in the Federal Register. To ensure you receive the most critical documents as soon as they are published, Compliance.ai makes many documents available on our platform both when they are published on the individual agencies’ websites and when they are republished in the Federal Register.

The only problem with this arrangement is that you may find yourself reviewing similar documents twice, once when published on the agency’s website, then again when it’s published in the Federal Register. Even though the documents are not always full replicas of each other, they are often very similar. 

To help you eliminate these almost “duplicate” publications, we’ve introduced a new “Exclude Federal Register” attribute to both basic and advanced search. If you want to exclude Federal Register documents, simply select the check box in basic search or add the Exclude Federal Register attribute to an advanced search and select True. 

Be aware many publications available on the Compliance.ai platform are currently only available via the Federal Register, so it’s best to use this new search attribute only for very specific searches where you know Compliance.ai also sources the documents you need directly from the agency website. You can expect to see information about agency / Federal Register overlaps within our Developer Platform documentation soon.

Basic Search – Exclude Federal Register

Advanced Search – Exclude Federal Register

New Basic Search Attribute - Document ID: Those of you who use our document data exports or who have integrated the Compliance.ai platform with another system may find you often use the Compliance.ai document ID as a key point of reference. To make it easier for you to quickly locate a specific document you might already be aware of from an export or a reference in another system, we’ve added Document ID as an attribute within Basic Search. To find a document, simply copy or type the document ID into the search field and search. Remember that Document IDs are specific to one and only one document, so if you’re going to use the Document ID attribute to search, make sure to clear out all of your other search filters.

Basic Search with Document ID

New data export attributes: unofficial publication date and EITL label fields

To help you leverage Compliance.ai data enrichments both online and offline, we’ve added new data fields to our document data export. 

New fields:

• EITL Labels: Allows you to track whether documents in your export are under review, or expert review has been completed.
• Unofficial Publication Date: True/False value that allows you to determine whether or not the document in question has an official publication date provided by the source.

Document Data Export

Start Reviewing your Annotations and Obligations Immediately with Progressive Loading

If you extensively annotate or add obligations to documents, you may have noticed that it can take a long time for all annotations or obligations to appear in the right panel. To help ensure you can start using this functionality even when there’s a lot of information to load, we’ve updated the right panel design to progressively load all available annotations or obligations. You’ll also see information about the expected number of annotations or obligations as well as a progress bar so you can tell how much more there is to load.

Annotations & Obligations – Progressive Loading

API: Leverage new endpoints for a comprehensive API experience

Management Hub API Release Note – Version 1.0

This API serves as the core component for managing administrative tasks associated with Labels, Rules, Permissions, Annotations, Document Tasks, Workflows, Tasks, and issue reporting via Glassdoor. It is utilized to construct the Management Hub within the compliance application, accessible here.

New Endpoints

Glassdoor Alerts Retrieval

This API facilitates the retrieval of alerts from Glassdoor, providing insights into the status and associated issues reported through the Glassdoor platform. The Swagger OAuth integration ensures secure and standardized access to Glassdoor’s alert data, enhancing transparency and efficiency. This feature requires specific access privileges (role based) and can be found here

• GET /v1/glassdoor_swagger_oauth

Rules Management

Enables the retrieval, creation, updating, and deletion of access permissions rules for users, teams, or roles associated with specific artifacts like labels, buckets, workflows, obligations and annotations. Allows precise control over the application’s features by defining permissions for users, teams, or roles of the organization.

• GET /v1/rules_swagger_oauth: Retrieve rules that match specific criteria.
• POST /v1/rules_swagger_oauth: Create a new rule
• PATCH /v1/rules_swagger_oauth/{rule_id}: Update a specified rule
• DELETE /v1/rules_swagger_oauth/{rule_id}: Delete a specified rule

Buckets (Folder) Management

• GET /v1/buckets_swagger_oauth: Provides information about buckets you have access to, including its name, the number of labels, workflows, and other artifact creation and last updated timestamps. Allows pagination, sorting, and filtering based on creation date and sort order.
• POST /v1/buckets_swagger_oauth: Creates a new bucket with the given name and assigns it as a child to the bucket identified by the parent_id.
• PATCH /v1/buckets_swagger_oauth/{bucket_id}: Allows updating an existing bucket identified by its ID.
• DELETE /v1/buckets_swagger_oauth/{bucket_id}: Deletes a bucket identified by its ID.

Labels Management

This API enables users to perform various operations, including retrieving, creating, updating, and deleting labels, obtaining details of label locations, bulk adding labels using a CSV file, and returning all labels accessible to them.

• GET /v1/label_swagger_oauth: retrieves a list of labels with details.
• POST /v1/label_swagger_oauth: Enables users to create a new label with the given information.
• GET /v1/label_swagger_oauth/{label_id}: Retrieves details of a specific label identified by its ID.
• PATCH /v1/label_swagger_oauth/{label_id}: Updates a label identified by its ID.
• DELETE /v1/label_swagger_oauth/{label_id}: Deletes a label identified by its ID.
• GET /v1/label_swagger_oauth/{label_id}/details: Retrieves details of where a label lives in the system, including document information.
• POST /v1/label_swagger_oauth/bulk: Allows users to bulk add labels using a CSV file.
• GET /v1/organization_labels_options_swagger_oauth: Returns all labels accessible to the user.

Annotations and Obligations Management

This API allows users to interact with sentence notes by providing operations such as retrieving, updating, deleting, and creating sentence notes. Additionally, users can add attachments to sentence notes. Access to these operations is subject to users having the necessary permissions for sentence notes.

• GET /v1/sentence_note_swagger_oauth/{sentence_note}: Description: Get detailed information about a specific sentence note.
• PATCH /v1/sentence_note_swagger_oauth/{sentence_note}: Update an existing sentence note with the latest information.
• DELETE/v1/sentence_note_swagger_oauth/{sentence_note}: Delete a specific sentence note from your records.
• POST/v1/sentence_note_swagger_oauth: Create a new sentence note and add it to your annotations.
• POST /v1/sentence_note_swagger_oauth/{sentence_note_id}/attachments: Attach files and additional information to a specific sentence note.

Workflows Management

This API enables users to retrieve workflows, both in general and for specific workflow IDs, providing flexibility in accessing and managing workflow information based on user permissions.

• GET /v1/workflows_swagger_oauth: Retrieve workflows.
• GET /v1/workflows_swagger_oauth/{workflow_id}: Retrieve a specific workflow.

Tasks Management

This API retrieves tasks for a specific assignee based on their status, allowing users to manage tasks efficiently.

• POST /v1/doc_tasks_by_status_swagger_oauth: Retrieve tasks by status.

Get Started:

To start with the new Management Hub API, access our Developer API site and select “Swagger – OAuth 2.0 – Management Hub API“. You’ll find detailed guides and examples to facilitate your exploration. To leverage this API, request a key for your existing application or create a new one and subscribe to the “Management Hub – 50 CPD” API plan. Once your request is approved, you can start to leverage this API.

API: Filter content based on date within the Pre-Filtered Content End Point for a more refined content set

Filtering based on the date processed Is now available in the Pre-Filtered Content endpoint point. If you are an API user, leverage this new capability to retrieve time-bound and more focused subsets of consolidated regulatory updates.

Speed up regulatory research using one source for Intelligence: Expanding Coverage

We continued expansion of our regulatory coverage. You can now follow recent regulatory updates across specific lines of business and jurisdictions:

• Banking: related updates from Peru, Mexico, Germany, Poland, Austria, Canada, Netherlands, Georgia, Chile, Kenya, United Arab Emirates, China, and United States.
• Data Protection: related updates from the European Union, Luxembourg, and the United States.
• Employment: related updates from the Dominican Republic, Thailand, Georgia, Chile, Canada (Quebec) and the United States. 
• Energy: related updates from Canada (Ontario, Alberta) and the United States.
• Finance: related updates from Portugal, Costa Rica, Canada (Saskatchewan, Ontario), European Union, China, Japan, Spain, Netherlands, and the United States. 
• Insurance: related updates from the European Union.
• Labor: related updates from Thailand. 
• Legislations: related updates from Luxembourg and Netherlands. 
• Real Estate: related updates from Canada (Alberta).
• Regulations: related updates from Canada (Quebec), Costa Rica, Kenya, and China.
• Securities: related updates from Portugal, Hong Kong, Panama, Canada (Alberta, British Columbia, Ontario), Peru, Thailand, and the United States.
• Taxation: related updates from Columbia, Dominican Republic and Georgia.
• Trading: related updates from Canada. 
• Utilities: related updates from Canada (Alberta and Ontario), and the United States.
  
• Austria: updates from the Österreichische Nationalbank [AUT-NB].
• Canada: updates from the National Assembly of Québec [CAN-QCNA], Alberta Energy Regulator [CAN-AER], Alberta Securities Commission [CAN-ASC], Ontario Energy Board [CAN-OEB], Financial and Consumer Affairs Authority [CAN-SKFCAA], Global Affairs Canada [CAN-GAC], Real Estate Council Alberta [CAN-RECA], British Columbia Securities Commission [CAN-BCSC], Canadian Bankers Association [CAN-CBA], Financial Services Regulatory Authority of Ontario [CAN-FSRAO], Retraite Quebec [CAN-QCR], Investment Industry Association of Canada [CAN-IIAC], and Ontario Securities Commission [CAN-OSC]. 
• Chile: updates from Ministerio del Trabajo y Previsión Social [CHL-MTPS] and Comisión para el Mercado Financiero [CHL-CMF]. 
• China: updates from the State Administration of Foreign Exchange [CHN-SAFE], Taipei Exchange [CHN-TPEX], and State Council of The People's Republic of China [CHN-SC].
• Columbia: updates from the Dirección de Impuestos y Aduanas Nacionales [COL-DIAN]. 
• Costa Rica : updates from Consejo Nacional de Supervisión del Sistema Financiero [CRI-CONASSIF], Superintendencia General de Valores [CRI-SUGEVAL], and Superintendencia General de Entidades Financieras [CRI-SUGEF]. 
• Dominican Republic: updates from the Presidencia de la República Dominicana [DOM-PRD] and Ministerio de Trabajo [DOM-MT]. 
• European Union: related updates from European Data Protection Board [EU-EDPB], European Data Protection Supervisor [EU-EDPS] and European Insurance and Occupational Pensions Authority [EU-EIOPA].
• Georgia (New Addition): updates from the Georgia Fair Labor Platform [GEO-GFLP], Georgia Revenue Service [GEO-RS], and National Bank of Georgia [GEO-NBG].
• Germany: updates from the Bundesbank Germany [DEU-BB].
• Hong Kong: updates from the Hong Kong Securities and Futures Commission [HKG-SFC].
• Japan: updates from the Japan Investment Advisers Association [JP-JIAA]. 
• Kenya (New Addition): updates from the Capital Markets Authority of Kenya [KEN-CMA] and Central Bank of Kenya [KEN-CBK].
• Luxembourg: updates from the Luxembourg Chambre des Députés [LUX-CDD] and Commission Nationale pour la Protection des Données [LUX-CNPD].
• Mexico: updates from the Central Bank of Mexico [MEX-CB].
• Netherlands: updates from the Centrale Bank van Curaçao en Sint Maarten [NLD-CBCSM], Netherlands Government [NLD-GOV], and Ministerie van Financiën [NLD-MF].
• Panamá: updates from Superintendencia del Mercado de Valores de Panamá [PAN-SMV]. 
• Peru: updates from Superintendencia del Mercado de Valores [PER-SMV], Seguros y Administradoras Privadas de Fondos de Pensiones [PER-SBS], and Presidencia de la República del Perú [PER-POR]. 
• Poland: updates from the Narodowy Bank Polski [POL-NBP].
• Portugal: updates from Comissão do Mercado de Valores Mobiliários [PRT-CMVM] and Ministério das Finanças [PRT-MOF]. 
• Spain: updates from the Spain National Securities Market Commission [ESP-CNMV].
• Thailand: updates from the Parliament of Thailand [THA-PARL], Thailand Ministry of Labour [THA-MOL], and Securities and Exchange Commission of Thailand [THA-SEC]. 
• United Arab Emirates: updates from the Central Bank of the United Arab Emirates [ARE-CB].
• United States: updates from the Federal Reserve System [FRS], Securities and Exchange Commission [SEC], Natural Resources Defense Council [NRDC], National Fire Prevention Association [NFPA], New York State Reliability Council [NY-SRC], National Institute of Standards and Technology [NIST], Consumer Financial Protection Bureau [CFPB], and Office of Financial Regulation [FL-OFR].

Tip of the Month: Leverage Pre-Built pivot tables in Compliance.ai’s Certified Task Audit Report for faster analysis

Many of you rely on our Task Audit and Task Audit Snapshot reports to generate quarterly or monthly management reports. Did you know that Compliance.ai’s Certified export includes pre-built pivot tables that could greatly improve your report preparation efficiency?

Task Audit Report: Certified Report

The certified task audit report includes the benefits of certification plus 10 pre-built pivot tables designed to help you assess the outcome our your workflows, for example, 

• How many workflows resulted in finding high risk items
• How quickly individuals on your team are completing their tasks
• Whether some team members are overburdened with tasks relative to their peers, causing bottlenecks in your process
• Which agencies are publishing the documents you consider to be the most impactful

Sample Task Audit Pivot Table

You can use any pivot table as is or modify it further to meet your specific reporting needs.

Just remember to select all Task Audit fields when you select the Certified Report so that reference fields are correct within the pivot tables.

If you have any additional suggestions for reports, contact support@compliance.ai and we’ll be happy to work with you to enhance our reporting.

Please visit Agency Sources within the documentation section of our Developer Platform website and bookmark the pages as we update them frequently!

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

We hope you enjoyed this product update!

Client feedback is always welcome. Please contact our support team with any questions or feedback or schedule a time to review our new features. Remember that you can always access the Training Center under the Help (?) section of the platform for more information.