Using Compliance.ai’s Advanced Search, product users can create focused and custom alerts to monitor the latest regulatory content and news. Alerts and notifications allow you to be notified automatically once a new document that meets your alert criteria is published.

Creating a new Alert


Step 1:

From the Timeline or using the Search Barinput the keywords, topics, regulations etc. that you would like to monitor. After you apply your search, you can select whether to view the result in the “Timeline” or Search View.

The Timeline view will return your result automatically sorted by Publication Date, with the most recent content at the top.

For the Search View, you will need to remove the “In the Timeline” button in the Search Bar. If you don’t see the button, that means you are already in the Search result view. The Search view will allow you to sort the results by a variety of options. It will also show you a short text preview with your search term highlighted.

Compliance.ai In Timeline View

Please refer to our Advanced Search and Filter Guide for tips on how to optimize your search results.

Step 2:

After you’ve verified that the search results have the content you’re looking for, click “Turn on Alerts” located to the right, below the Search Bar.

Compliance.ai Turn on Alerts

Please note: Depending on your search and filter criteria, there might not be any documents listed, yet. This can happen for developing regulatory topics such as the California Consumer Privacy Act or GDPR. However, if you are expecting some results to be shown, then it is likely you have a conflicting item selected in your filter.

For example: if you search for the California Consumer Privacy Act, and also have a Document Type selected for “Rule” there will not be any existing document returned.

Compliance.ai Search and Filter

Step 3:

Save your Search and click “Create.”  Then save the alert. It will automatically be populated with the keywords listed in the Search bar, you can rename the alert without affecting the search criteria.

Compliance.ai Create an Alert

Step 4:

Next, you can choose to update the frequency of your notifications via the hyperlink in the confirmation or by selecting the Notifications tab.

Compliance.ai Notifications

From the Notifications tab, find the alert you created and use the dropdown menu to select the frequency of your email notification. You can also choose to not be notified by email, simply deselect all.

  • Hourly: update you within an hour after the document is added in the product.
  • Daily: sends you a summary of any new content at the end of the day.
  • Weekly: sends you a summary of any new documents published over the past 7 days. Weekly email summaries are sent on Wednesdays.

Compliance.ai My Alerts


Common ways to use Compliance.ai’s Alerts and Notifications


1. Email Alerts: Some users prefer to rely on email alerts to indicate when they need to login into the product to review new relevant documents.

2. Product Notifications: Other users prefer to log into the product on a regular basis and manually check for updates. If the bell icon next to the alert is blue, that means there are new documents added, if it is grey, there are no new documents.

3. Saved Searches: You can also use alerts for saved searches.

Sharing Alerts and Notifications with your Team

 

To share alerts with your team, simply click on the icon and select the emails of the individuals you would like to share it with. Please note, this can only be done across your colleagues that have a registered account with Compliance.ai.

If you need more help, please email: support@compliance.ai

Compliance.ai allows you to review and comment on documents with your own personalized annotations. These annotations can be used to highlight and denote rights, constraints, exceptions, obligations, and other noteworthy fragments within a regulatory document. You can review these annotations at any time and add labels to map the annotations to your controls, annotate them using a rich text editor, and add links or attachments.

Any Pro or Team edition user can add and review these annotations.

This product guide will show you how to:

  1. Search for documents with Annotations
  2. Access documents where Annotations can be seen or made.
1. Search for documents with Annotations

To find documents where the Annotations feature is available, select the “Document Properties” filter and select the “Annotations Available” filter.

Annotations Available Filter

 

2. Access documents where Annotations can be seen or made

When a document is selected, you will see the Annotations tab in the right-hand panel, which will show any Annotations that either you or your colleagues have made on a document.

Annotations Tab

To add an annotation, simply highlight any portion of the text you would like to make an annotation on and select “Add Annotation.” Selecting an Annotation navigates to the associated text.

Annotate Text

Annotation Text

These Annotations are organized in order of where they appear in the text and by clicking on the 3 dots on the top-right corner you can add labels, access the rich text editor, and add attachments.

Edit Annotations

Note: All user-generated annotations added by members of your organization appear in the Annotations tab and are restricted to only your organization.

The Compliance.ai search tool also allows users to research content by specifying a keyword, phrase, or a series of either a keyword and/or phrase. With the addition of the Filter, you can further refine your search results by applying additional criteria like agency source, document type, publication date, name of regulation and more. This document will guide you through various examples of how to properly use Compliance.ai’s Advanced Search and Filters.

Agency, Doc Types, Keywords, and Phrases

Example 1: The user would like to see enforcement documents from the SEC that mention a Suspicious Activity Report.

Rather than typing in the search bar: “SEC enforcements SAR,” the user will apply an agency source Filter for “SEC” and document type filter to select Enforcement actions, then add the phrase or keyword in the search bar.

Suspicious Activity Report FilterExample 2: For an even more focused search result, the user has the same filters shown above, but now applies quotations around the phrase in their search. By applying quotes, the user is telling Compliance.ai to only return documents that mention the complete phrase “Suspicious Activity Report” together, in that order.

OR

Example 3: In this format, the user is indicating they want to see documents that include either “Suspicious Activity Report” OR (the acronym) SAR. Now Compliance.ai will look for any occurrence of an SEC Enforcement document that has at least one of those keywords mentioned in the document. The use of “OR” in the search bar must be capitalized.

AND

Example 4: Now the user is looking for a document that has all of the criteria in the previous examples, but also mentions the phrase “money laundering.” This will return search results for SEC Enforcement documents that mention either Suspicious Activity Report or SARs AND money laundering. The use of “AND” in the search bar must be capitalized.

Citations, CFR and State Code

Example 1: The user is looking for a particular mention of, “title I of the Consumer Credit Protection Act” or 15 U.S.C. 1601 et seq, in any recently published document. No document type or additional filter is required. However, we recommend searching for “USC” rather than “U.S.C”

OR

Example 2: In this case, the user would like to find documents that mention either “15 USC 1601” or “12 CFR Part 226” Using “OR”  in addition to the quotations around each citation, the results will return documents that mention at least one of those citations.

AND

Example 3: The user is looking for documents that reference a combination of a citation or act and, the federal code. As shown in the example below, you can apply a combination of AND, OR, with parentheses, and Filters for specific search results.

Your Compliance.ai Dashboard includes a variety of useful Widgets catered to many aspects of the regulatory landscape.

You can duplicate and edit the  Activities at a Glance Widget to create customized views of documents over selected periods of time.

This Widget shows a carousel of documents that have been published over your selected period of time by the Agencies / Jurisdictions you selected in the Default Filter.

Screen Shot 2020-01-15 at 5.03.50 PM

By clicking on the three dots in the upper right corner of the widget, you can open the Widget menu. The menu items allow you to:

  • Toggle on your Default Filter selections
  • Change the Time Range of published documents the carousel will surface
  • Update the Jurisdictions and Agencies that appear on the carousel
  • Duplicating the Widget

Duplicating the Widget

Screen Shot 2020-01-15 at 5.05.45 PM

While in the Widget menu, select the duplication icon in the upper right corner to create a clone of the carousel. Scroll down to locate the duplicate Widget; click the Widget menu to rename and customize it.

Here is one idea on how to customize the Widget: To view all documents from the State Jurisdictions of California and New York over the past 45 days, use the following filters:

Screen Shot 2020-01-15 at 5.26.53 PM

The Compliance.ai Dashboard is a view of activity over the past 7 days, for agencies and topics relevant to the user.

Default Filter

To customize the Dashboard, users can select the Topics, Jurisdictions, Regulatory Sources, and Mainstream News sources to follow.

DashboardTopic Tags

Dashboard

On the Dashboard, users will find widgets for recent activity from agencies followed, including document publication, enforcement actions, upcoming deadlines, news, and more.

  • Activities at a Glance: A carousel of Agencies the user follows, and the content they have published over the past 7 days.
    • Note: Users can click on any document to view the full PDF and document details.

Activities at a Glance

  • Topic Updates: A list of the Topics the user follows, including the number of documents that have been published over the past 7 days. Once a topic is selected, the user will see the document types published in that topic in the past 7 days.
    • Note: By clicking on any of the document types, users will be lead to a list of those documents.

Topic Updates

  • Enforcement Actions: A graph of enforcement actions published by the Agencies the user is following over the past 7 days.
    • Note: Clicking on any of the bars will lead the user to a list of those enforcement actions.

Enforcement Actions

  • Industry News: A list of articles from the Mainstream News Sources the user follows.Industry News Widget
  • Approaching Deadlines: A list of approaching deadlines, including Effective Dates and Comment Close dates for Proposed Rules, Final Rules, Register Notices, etc.

 

Approaching Deadlines

  • Whitepapers: A list of whitepapers and thought leadership pieces that have been recently published.

Whitepapers

  • Recommended Searches: The list of recommended searches reflects popular searches in the product. Simply click on any of the searches to view the search results.

Recommended Searches

Customizing the Dashboard

Users can simply drag and drop any of these widgets to arrange the order of the widgets.

Dashboard Drag and Drop

To add or remove any of the widgets, click on the “Customize” dropdown list at the top right of the screen, and click the checkmark next to the widget’s name.

Dashboard Customize

The Compliance.ai Diffing feature allows users to compare the differences between two documents. Simply select any two documents with the “Diffing” icon, and click the “Diffing” document icon (top left corner of results view) to view the differences between those two documents. Green indicates the text was added, and Red indicates the text was removed.

Select two documents with the diffing icon

Click the Diffing Icon

Diffed Document

Want to view the differences between two versions of one regulation, such as a Notice, Proposed Rule, and Final Rule?

Different versions of one regulation can be found in the “Changes” tab on the right panel. When viewing the “Changes” tab, select any two documents in the tab to view the differences.

Click on the Changes tab

Check Out the Diffing User Guide

Diffing

Exporting regulatory documents and organizing them into a spreadsheet is easy with Compliance.ai. Compliance.ai’s exporting tool automatically populates the key attributes into columns and can be downloaded into a .csv format. This step-by-step guide will show you how to save time and tedious effort in maintaining a spreadsheet of relevant regulatory content for your team.

Exporting to .CSV

Start from either the Search Bar or Timeline tab.

From the Timeline View, filter down the content by document type, agency, jurisdiction and more. Remember that the Timeline is automatically sorted by publication date, with the most recent content at the top. If you’d like to sort by different attributes, remove the “In Timeline” box from the search bar and resubmit your search.

In Timeline View

From the Search Bar, type in the keywords, phrases or concepts that you’re searching for. Check your filters to make sure it applies to your search.

Please refer to our Advanced Search and Filter Guide for tips on how to optimize your search results.

Step 2:

After you’ve verified that the search results have the content you’re looking for, select the documents that you want to export by clicking on the small checkbox to the left of each document. You can also select all the documents in the page view.

Please Note: You can export up to 600 documents, but you can only do this once a day.

Select All Documents

You can review the total number of selected documents that will be included in the export.

Step 3:

Next, click on the icon with the arrow pointing out, located to the right of the checkbox at the top. A window will pop up with a list of key document attributes for you to select to include in the export.

Export to

Apply a name for the downloaded file to be saved as, then hit Export.

The .csv file will be available in your web browsers downloaded files log.

Common use cases for exporting documents

  • Reporting
    Get a high-level overview of all the attributes listed above, for all of the documents you have selected. Confirm a document’s workflow status and whether or not a document has been “read”.
  • Download fewer PDFs
    Generate a list of direct links to the documents you are working on. Review documents inside the product and download fewer PDFs.

Example

Let’s say that you’re searching for enforcement actions and rules from the CFPB, FDIC, OCC, and FRS that mention “privacy”. You’re only interested in documents from June 1, 2018, to December 31, 2018.

Your search would look like this:

Compliance.ai Filter
From here you would follow steps 2 & 3 to export the attributes you need from the documents you’ve selected:

Export Icon

What is the Jurisdiction Analyzer?

The Jurisdiction Analyzer allows you to compare requirements across jurisdictions. It may be helpful if you are expanding into new jurisdictions or lines of business. You can also set alerts to follow changes.

What are Concepts?

Concepts are high-level business topics.

What are Metrics?

Metrics are ares within a business topic that you may want to compare across jurisdictions.

What Jurisdictions can I choose from?

You may follow any jurisdiction available in Compliance.ai. Some jurisdictions may not have content for the concept and metric you select.

How do I improve my results?

You can adjust any Jurisdiction Analyzer results by editing the search terms and filters selected.

Compliance.ai users can access and review content categorized as obligation. These obligations are either automatically categorized as obligations by Compliance.ai (system-generated), or by users in your organization (user-generated). You can review the obligations to determine if they are relevant to your organization, add labels to map the obligations to your controls, annotate them using a rich text editor, and add links or attachments.

Team edition users can also complete related Obligation workflow tasks to determine applicability or risk of the obligations.

Users within an organization can add user-generated obligations to determine the relevance and risk of these additional obligations, and annotate them as needed.

This product guide will show you how to:

  1. Search for documents with Obligations
  2. Access system-generated Obligations and create your own obligations
  3. Add Obligation review to workflows (Team edition)
  4. Report on Obligations-related activities (Team edition)
1. Search for documents with Obligations

To find documents that include obligations, select "Document Properties = Obligations" within Search Filters.

Document Properties = Obligations

2. Access system-generated the Obligations and create your own obligations

When a document is selected you will see the Obligations tab in the right-hand panel, which shows all system-generated and user-generated Obligations.

Right-hand panel Obligations

Selecting an Obligation navigates to the relevant section of the documents from which the obligation was classified.

User-generated Obligations

You can also add new user-generated obligations to the document by highlighting a portion of the text and selecting the "Add Obligation" option. These obligations are organized in order of where they appear in the text and are color-coded to depict which obligations are system-generated and which are user-generated. Any Obligation marked "Y", will allow you to then have access to the rich text editor to label, add attachments, and leave comments on the selected Obligation text.

Obligation Rich Text

Note: All user-generated obligations for your organization appear in the Obligations tab. User-generated obligations are restricted to your organization only.

3. Add Obligation review to workflows (Team edition)

Team edition users can create workflows that include Obligation Review steps.

Obligation Review Task

Obligation Review Task Details

If a workflow with an Obligation Review step is added to your document, you will see the specific steps (including specific drop-down options, text fields and attachments) appear beneath each Obligation marked Relevant - Y.

Right-hand panel Obligation Review

4. Report on Obligations-related activities (Team edition)

Team edition users have access to a comprehensive record of actions taken on Obligations. This reports tracks all annotations related to obligations, including adding user-generated obligations, marking obligations as relevant (Y or N), indicating drop-down values, adding rich text, labels and attachments. You can export this report to assist with audits, resource planning, and reporting.

Complianceai Workflow Reports

Obligations Audit

How do I know Compliance.ai sources are up-to-date?

Compliance.ai updates source data daily - we add thousands of documents every weekday.

For all our documents, there are links to the document's agency website, which you can use to verify accuracy and date information at any time.

To access that information, select the document you're interested in, by either clicking on its row, or selecting its checkbox.

On the right side of your screen, you will see its document summary panel.

Below the document title, there is a button which says "View PDF;" if you click the arrow to the right of that button, you will have the option to view that PDF on the agency website instead (or as well).

How do I know which sources I can find on Compliance.ai?

Regulatory Sources

  • Bank of England (UK-BOE)
  • Commodity Futures Trading Commission (CFTC)
  • Comptroller of the Currency (OCC)
  • Consumer Financial Protection Bureau (CFPB)
  • Employee Benefits Security Administration (EBSA)
  • Executive Office of the President (EOP)
  • Fannie Mae (FANNIE)
  • Federal Deposit Insurance Corporation (FDIC)
  • Federal Financial Institutions Examination Council (FFIEC)
  • Federal Housing Administration (FHA)
  • Federal Reserve System (FRS)
  • Federal Trade Commission (FTC)
  • Financial Conduct Authority (UK-FCA)
  • Financial Crimes Enforcement Network (FINCEN)
  • Financial Industry Regulatory Authority (FINRA)
  • Freddie Mac (FREDDIE)
  • Justice Department (DOJ)
  • Labor Department (DOL)
  • New York Stock Exchange (NYSE)
  • Office of Foreign Assets Control (OFAC)
  • Prudential Regulation Authority (UK-PRA)
  • Rural Housing Service (RHS)
  • Securities and Exchange Commission (SEC)
  • Treasury Department (TREAS)
  • Veterans Administration (VA)

Jurisdictions

  • Alabama (US-AL)
  • Alaska (US-AK)
  • Arizona (US-AZ)
  • Arkansas (US-AR)
  • California (US-CA)
  • Colorado (US-CO)
  • Connecticut (US-CT)
  • Delaware (US-DE)
  • Florida (US-FL)
  • Georgia (US-GA)
  • Hawaii (US-HI)
  • Idaho (US-ID)
  • Illinois (US-IL)
  • Indiana (US-IN)
  • Iowa (US-IA)
  • Kansas (US-KS)
  • Kentucky (US-KY)
  • Louisiana (US-LA)
  • Maine (US-ME)
  • Maryland (US-MD)
  • Massachusetts (US-MA)
  • Michigan (US-MI)
  • Minnesota (US-MN)
  • Mississippi (US-MS)
  • Missouri (US-MO)
  • Montana (US-MT)
  • Nebraska (US-NE)
  • Nevada (US-NV)
  • New Hampshire (US-NH)
  • New Jersey (US-NJ)
  • New Mexico (US-NM)
  • New York (US-NY)
  • North Carolina (US-NC)
  • North Dakota (US-ND)
  • Ohio (US-OH)
  • Oklahoma (US-OK)
  • Oregon (US-OR)
  • Pennsylvania (US-PA)
  • Rhode Island (US-RI)
  • South Carolina (US-SC)
  • South Dakota (US-SD)
  • Tennessee (US-TN)
  • Texas (US-TX)
  • Utah (US-UT)
  • Vermont (US-VT)
  • Virginia (US-VA)
  • Washington (US-WA)
  • Washington DC (US-DC)
  • West Virgina (US-WV)
  • Wisconsin (US-WI)
  • Wyoming (US-WY)

The latest updated source/agency list can be viewed - and updated with your latest preferences - in the "Default Filter" area.

How can I request new sources?

We'd love your input on sources you'd like to see added to Compliance.ai.

Send us an email at support@compliance.ai.

Legal

Federal Register Content

The content posted on this site, taken from the Federal Register (Federalregister.gov), is not an official, legal edition of the daily Federal Register; it does not replace the official print or electronic versions of the daily Federal Register. Each document posted on the site includes a link to the corresponding official Federal Register PDF file on  FDsys.gov

While every effort has been made to ensure that the material on Compliance.ai is accurately displayed, consistent with the official PDF version on FDsys.gov, those relying on it for legal research should verify their results against an official edition of the Federal Register.

Agency Website Content

The content posted on this site, taken from U.S. Government agency websites, is not an official, legal edition of the content on that site; it does not replace the official print or electronic versions of the content on a U.S. Government agency website. Each document posted on the site includes a link to the corresponding official web page and/or PDF file of the agency.

While every effort has been made to ensure that the material on Compliance.ai is accurately displayed, consistent with the official agency web page and/or PDF version, those relying on it for legal research should verify their results against an official agency publication.

How do I manage my subscription?

You can buy a monthly or annual subscription through the Account menu. At checkout, you will see options to pay with a credit card via Stripe or to request an invoice. If you request an invoice, we will contact you via your login email address to create and send your invoice. If you would like to cancel your Compliance.ai subscription, please contact us at billing@compliance.ai.

How do I request a refund?

If you would like to request a refund for your cancelled subscription, please contact us at billing@compliance.ai.
We will provide a full refund for cancellation requests received within 24 hours of subscription purchase.
The minimum charge for subscriptions cancelled after 24 hours of subscription purchase is one month of service.
For monthly subscriptions, we will cancel all future recurring monthly charges with no refund.
For annual subscriptions, we will pro-rate your refund based on the number of unused full months left in your subscription. For example, if you cancel during your seventh month, we will refund you five months of service at the annual monthly rate.

(last updated January 2019)

Compliance.ai Team Edition User Roles
What if my Compliance.ai data isn't loading?

If your network access is fine, but Compliance.ai won't load the dashboard, please send an email to support@compliance.aito let us know of the issue. We will get back to you as soon as possible.

What are the requirements for Compliance.ai to run on my machine?

We aim to ensure Compliance.ai works on a whole host of Operating Systems and Browsers.

The minimum machine requirements at this time are:

Operating Systems:

  • Windows 7+
  • Mac OS X

Browsers:

  • Internet Explorer 11
  • Safari iOS 9
  • Chrome iOS 9.0+
  • Chrome on Android 4.4+
Who do I talk to if something isn't working?

We want to ensure you're having a great experience with Compliance.ai! Send an email to support@compliance.ai. We'll get back to you as quickly as possible.

How do I submit a bug?

We love feedback, and are eager to quickly resolve any problems you are having. Send us an email to support@compliance.ai. We'll review the information, and incorporate any fixes required into our product roadmap for a future release.

Team edition users can create workflow rules to automatically trigger action items and delegate tasks to the responsible parties on their team. Compliance.ai’s Workflow automatically notifies you and the responsible team member as soon as a relevant change occurs, based on the rules established in the workflow.

Compliance.ai’s automatic workflow helps you assign tasks, track due dates and monitor progress relevant to specific regulatory changes.

Step 1: Create customized alerts

Please refer to our Alerts and Notifications Guide for more details.

Create an Alert

Manage Workflow

Note: After saving the alert, you will be prompted with an option to immediately “Go To Manage Workflow” to create a new flow for that alert. If you already have a set of alerts created, then you can move on to the next step.

Step 2: Select the tab for Tasks, then go to Manage Workflow

Select “Add a New Flow” then decide to either “Start with a template” or “Start from scratch.” Most users choose to start from scratch.

Add a New Flow

Import Template

Start with a Template: This option will allow you to import an existing template that you have used in a previous workflow.

Start From Scratch

Start From Scratch: This option allows you to customize a new series of action items and team assignments.

Start From Scratch

Step 3: Select the Alert that you would like to create a repeatable process for.

This is indicating that anytime a change occurs related to that specific alert, the same series of tasks should be assigned.

Note: You can choose to backdate this workflow up to 30 days prior by selecting the “Published Since” date.

Add a Step

Step 4: Next, select the “add a step” button. This is where you will set up the recurring tasks.

Apply a general title like read or evaluate, then describe the specifics for the assignment in more detail within the description.

Select the due date criteria based on either the: Publication Date, Effective Date or Comment Close Date. Then assign the task to a member in your team.

You can apply additional requirements like attaching a documents, adding notes within a text field or create a standard option with a dropdown.

The dropdown selection is useful for tasks with a standard review criteria for example, “relevant” or “not relevant.”

Workflow

Step 5: For subsequent steps, select to add another step, then follow the same process described above.

Dependencies: You can establish a dependency for subsequent tasks as long one of the prior assignments has a dropdown criteria applied. For example, if you added a drop down criteria, requiring the team member to select whether the document was “relevant” or “not relevant,” then the next step can be dependent on the prior being marked as “relevant.”

Step 6: Review the workflow and save

Once you’ve completed adding the reoccuring steps for the specified workflow, click to save.  If there are already relevant tasks in the queue, you will see these assignments in the first tab named “Tasks.” For new workflows, this can take up to 10-minutes to populate.

Note: You can sort the Tasks tab to only show your tasks or list tasks across the team.

Organization Tasks

Step 7: Built-in Reporting

Compliance.ai keeps a comprehensive record of the regulatory changes that your team was notified of and the actions taken by the team to respond. It will keep track of who was assigned the task, what the task was, and when the task was assigned and due with precise detail. You can export these reports during audits, for resource planning, and to report to executives.

Compliance.ai Workflow Reports

Compliance.ai Audit Reports