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


FINRA enforcements decreased 70% over the past 30 days


SEC issued enforcements: $289,563,885 over the past 30 days


161 Final Rules go into effect in the next 30 days


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1460 docs with 2637 extracted obligations from the last 7 days


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


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Compliance.ai Referrer Deal Registration

Compliance.ai Deal Registration
Compliance.ai Referral program rewards & motivates referrers for nurturing & selling Compliance.ai products and services to prospective clients by providing sales commissions.

Reseller Deal Registration is a program where Compliance.ai assigns & manages the opportunity with the Referrer.

Registration process

Registration (Referrer)

  • Referrer submits a new, Qualified Deal* as an opportunity to the Compliance.ai Referral Portal, for approval.
    Select the link below to access the portal:
    Compliance.ai Deal Registration Portal
    Once approved, the Deal Registration entitles the Referrer to the eventual Referrer commission (subject to customer payment).

Compliance.ai Review Process

  • Approve: Deals approved by Compliance.ai are valid for 60 days (the “Deal Registration Period”)
  • Research: Compliance.ai may need to review a registered deal for an additional 3 business days.
  • Reject: Compliance.ai will provide the reason for rejecting the request.

Maximum Length of each step: 72 business hours (3 business days) from deal registration date

Approval process

Compliance.ai will process registered deals for approval, confirming:

  • Referrer is the first Referrer attempting registration for the prospect/customer opportunity
  • Compliance.ai is not directly engaged with the prospect/client already
  • The Deal Registration submission is complete (no missing information)
  • The Deal is a Qualified Opportunity and the Referrer has been actively engaged in significant qualifying activities
  • The customer is not part of an existing registered deal nor has assigned the same opportunity to another Referrer
  • The Referrer adds value to the opportunity:
    • Customer’s willingness or preference to purchase other solutions that Referrer is offering customer
    • Historical selling relationship between Referrer and the Customer

Qualified Deals
Referrer can only register “Qualified Opportunities”: Referrer shows it has scoped & qualified requirements for closure within the Deal Registration Period.

Opportunities remain as “Qualified Opportunity” from the start of the sales cycle for so long as the Referrer is “actively engaged” on the opportunity, if Referrer has completed the following steps:

  • Identify the business qualifications – Customer’s project name and scope, budget, Use Cases and Compliance.ai service (edition) interest, along with detailed Customer information (Name, Location, Jurisdiction, Scope of opportunity within Customer environment)
  • Document the Customer’s Use Case(s) and technical requirements
  • Prepare and deliver Sales Presentations that include Compliance.ai solutions as an option to key Customer stakeholders
  • Demonstrate Compliance.ai solution to the prospect/customer
  • Discuss and agree on all commercial terms with the Customer
  • Establish the Customer’s decision process and timing for close with the Customer

Registration Extension
At the end of the Deal Registration Period, Referrer can request for an extension to close the opportunity. Compliance.ai will evaluate the request for approval.

  • Extensions are provided in 30 day increments.
  • A maximum of 3 Extensions can be requested for each expired Deal.
    Select the link below to access the deal registration portal to request a deal extension:
    Compliance.ai Deal Registration Portal

Compliance.ai will send Referrer automated receipt notifications via email regarding:

  • once they complete the Deal Registration Form.
  • any action Compliance.ai takes on a registered deal as part of the Approval, Rejection & Research activities.
  • Expiration of a Deal Registration, as well as a final expiration notice on the last day of the Deal Registration Period.

Referrer must raise any issues or submit any dispute associated with Deal Registration via email to resellers@compliance.com

Compliance.ai reserves the right, under extenuating circumstances, to revoke a Deal Registration before the Deal Registration Period has ended.

Examples of when this might occur include:

  • Referrer’s Agreement with Compliance.ai has expired or has been terminated
  • Customer/Prospect expresses dissatisfaction with Referrer and informs Compliance.ai accordingly
  • Referrer is unresponsive to Customer/Prospect, and Customer/prospect complains to Compliance.ai, and Referrer has not provided a reasonable response within 3 business days from customers compliant.