Monitor regulatory content and news by creating custom alerts. You can add any number of custom alerts based on search criteria to identify specific sets of documents that impact your business. Once you’ve established your alerts, you won’t need to search again because you’ll be notified automatically once new documents that meet your alert criteria are published.
Creating a new Alert
Step 1:
Select Filter in the search bar and enter search criteria using parameters such as Agency, Jurisdiction, Dates, and free text entry fields such as Title and Full Text, then click Search.
Check your search results, and once you’re satisfied that you’re receiving the expected results, click “Turn on Alerts” located to the right, below the Search Bar.
Please note: Depending on your search and filter criteria, there might not be any documents listed, yet. This can happen, for example, for new regulatory topics and upcoming legislation. 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 select Document Type “Rule” and conduct a Title search for something that is currently only a Proposed Rule, no results will be returned. Once the Rule is published, you will receive an alert.
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.
Step 4:
Next, you can update the frequency of your notifications via the hyperlink in the confirmation or by selecting the Notifications tab.
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: updates 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.
Common ways to use Compliance.ai’s Alerts and Notifications
Email Alerts: Rely on email alerts to indicate when you need to log into the product to review new relevant documents.
Create your own Dashboard Widget: You can create your own custom dashboard widget for any alert. Simply click the three dot more features icon for the alert and choose “Create Widget”. A new widget will be automatically added to your dashboard. The widget is automatically kept in sync with any changes you make to the alert, so once it’s been added, it’s always up-to-date.
RSS Feed: Team Edition users have access to RSS links for alerts. You can use these links to review resulting documents in popular RSS reads or to integrate with many platforms you may use in your organization such as your GRC or document management system. Access the RSS link for an alert by clicking more features icon for the preferred alert. See information about our Developer Program for more information on integrations.
Product Notifications: Log into the product on a regular basis and manually check for updates. The red “NEW” flag means that new documents have been added since you last accessed the notification.
Saved Searches: You can also treat your alerts as saved searches. Simply hover over the name of the alert and click the Go to notification link to search.
Editing your Alert
You can change your alert parameters at any time by clicking the three dot “more features” icon next to any alert. This will direct you to filters. Simply modify your filters and other search parameters as needed and click “Update this Alert”.
Sharing Alerts and Notifications with your Team
To share alerts with your team, simply click on the “more features” icon and add the email addresses of the colleagues with whom you wish to share the alert.
Please note, this is limited to individuals within your organization who have a Compliance.ai login ID. If you need help adding users to your organization, please contact us by leaving a message using chat or by email at support@compliance.ai.
Annotations
Compliance.ai allows you to review and comment on documents with your own personalized annotations. These annotations can be used either to highlight and denote rights, constraints, exceptions, obligations,
and other noteworthy fragments within a regulatory document or to add a label indicating a micro-topic or risk control to a document as a whole. 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:
Search for documents with Annotations
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.
2. Access documents to review and add Annotations
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.
To add a label to a document, choose “Add Document Label”. This will allow you to either select from a list of existing labels specific to your organization or add a new label that can be used across your organization.
To add an annotation, simply highlight text and select “Add Annotation.” Once you have added annotations, you can navigate to a specific annotated fragment within a document by clicking on the annotation in the right panel.
These Annotations are organized sequentially based on their order within the text. Click on the three dots on the top-right corner of an annotation to add labels, access the rich text editor, and add attachments.
Note: All user-generated annotations added by members of your organization appear in the Annotations tab and are restricted to your organization.
Basic and Advanced Search
Basic Search
The Compliance.ai search tool allows users to find documents by entering text and using predefined filters. This document provides examples of how to properly use Compliance.ai’s Search and Filters to find the most pertinent documents efficiently.
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 to the “Text is” filter or the search bar.
Example 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.
Advanced Search
Compliance.ai’s Advanced Search feature allows you to further filter content with an exclude option. Use the toggle next to the Search bar to switch to Advanced Search at any time.
To create fine-grained queries without having to learn advanced syntax, use Advanced Search Filters. This gives you access to all possible filters as well as a full array of comparison functions (is, is not, greater than, less than, and true/false).
Use the search toggle to select Advanced, then click Filters.. Simply click “+” to begin adding filters.
Once you have added a filter, you can select the Attribute, Comparator, and Values from drop down lists. In some cases, for example Text, the value can be a free-form text. There’s no need to add quotes around multiple words. Advanced Search does this for you.
To add another filter to the same group, choose the “+” immediately below your existing filter. This allows you to use the same “Operator” (AND/OR) between the filters.
If you want to combine And and Or functions in a query, you can add a new Filter Group by selecting the “Add filter group” button. Change any AND/OR by clicking on the comparator.
You can even add a nested group using the “Add filter group” button immediately beneath any filter group. This will allow you to add a set of filters using a different comparator within your main group. This might be helpful if you are trying to include or exclude multiple text values from your search.
Using the “Convert to Advanced Search” feature is also a great way to leverage the simplicity of our Basic Filters, while also allowing you to take advantage of Advanced Search syntax. For example, if you wish to search for all enforcement documents published by the agencies you follow, but wish to exclude AWCs, add filters within the Basic Search filters, include title = AWC, then Convert to Advanced search so you can customize.
Once you have converted, you can simply change the final “AND” to “AND NOT” to exclude AWC and click enter to search.
Note: You can type into the search bar directly, but remember that you must use the correct terms for attributes (e.g., “Agency”) and comparators (e.g., “AND”)
Any text longer than 1 word must be contained in quotations, e.g. title = “Agencies Announce Dollar Thresholds”
You can add Boolean search terms such as “and/and not,” “or/or not,” in between any of the filter types
All date fields follow the follow format yyyy-mm-dd
For lists of attributes within the same filter, you can use the IN function instead of AND (see below).
Value must be exact matches if there is a list (See Table) associated with the attribute
Such as = Rule vs. = rule
If you wish to type your search query directly into the search bar, you will need to input the correct sequence of attributes, comparators, and values. Please refer to the table below:
If you want to include many values for a particular attribute, it’s more efficient to use the IN function rather than multiple clauses with AND comparators:
The Compliance.ai Dashboard is your at a glance view of recent documents, upcoming dates, and topics that are relevant to your and your organization. It’s a great way to get a handle on critical items at the start of your day.
The Dashboard is composed of multiple topical widgets, many of which you can customize to help you focus on your highest priority documents. To tailor a widget to meet your needs, click the Edit button on the widget, update the time frame, select jurisdictions, agencies and/or document types. Remember to set the “Default Filters” toggle on if you wish to follow your default Regulatory Sources within the widget. If you wish to create multiple views of the same widget to cover different agencies or time frames, you can also duplicate by using the copy icon. Move widgets to your preferred location by simply dragging and dropping in the window. To remove a widget from your Dashboard, simply select Customize in the upper right corner of the Dashboard and deselect any widgets you don’t want to keep in view.
You can drag and drop any of these widgets to rearrange the order of the widgets to your preferences.
Widget Details
Activities at a Glance: Includes a carousel of Agencies and Agencies within Jurisdictions. You can Edit to view only specific Document Types published by your selected Agencies over a period of time up to the past 365 days.
Features:
Edit widget name, agencies, jurisdictions, document types and time period.
Duplicate to see another instance of the widget.
Click on any document to view details.
Select See All to information on all referenced agency publications within the standard Search view.
Drag and drop agency headers to reorder view.
Topic Updates: Shows a count of documents within your selected Topics published over your preferred time period.
Features:
Edit widget name, agencies, jurisdictions, documents types, and time period.
Duplicate to see another instance of the widget.
Click on document types to see all referenced agency publications within the standard Search view.
Enforcement Actions: Provides a snapshot and a time comparison view to help you track enforcement documentations and penalties by agency.
Features:
Edit widget name, agencies, jurisdictions, document types (enforcement documents only) and time period.
Select snapshot view to see documents or penalties over your preferred time period.
Select comparison view to review trends across time periods.
Duplicate to see another instance of the widget.
Click on the widget graph to see all referenced documents see all referenced within the standard Search view.
Industry News: A list of articles from the Mainstream and Agency News Sources you are following.
Features:
Click See All to all stories within the News page view.
Select any news item to see the document in the standard document view.
Approaching Deadlines: Helps you keep track of approaching Effective and Comment Close dates for the Agencies, Jurisdictions, and Document Types you have selected over your preferred time horizon.
Features:
Edit widget name, agencies, jurisdictions, document types and time period.
Duplicate to see another instance of the widget.
Click on any document to view details within the standard document view.
Select See All to view all referenced publications within the standard Search view.
Whitepapers: Stay up-to-date by reviewing recently published thought leadership.
Features:
A snapshot of whitepapers published over the most recent 7 days to help you keep abreast of guidance from leading legal and industry sources.
Click See All to review all whitepapers available on the platform within the standard Search view.
Hot Topic Widgets: Stay current with high-priority issues by reviewing topical widgets like the Covid-19 and California Consumer Privacy Act (CCPA) widgets.
Features:
A snapshot of documents published over the past 7 days by either All Sources, or Sources you specifically follow related to hot topics.
Click See All to review all documents published over the past 7 days on these topics within the standard Search view.
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.
Create your own Widget: Follow documents related to your key alerts by creating your own widget on demand from any existing alert.
Features:
Create your own widget by selecting any alert from your Notifications page and clicking “Create Widget”. The widget is automatically added to your Dashboard.
View recent documents based on your alert within a widget.
Edit to update the time period or the alert criteria. Note that the widget and alert are kept in sync, so you only need to edit in one location.
Click on any document to view details within the standard document view.
Click on See All to see all documents referenced within the standard search view.
Creating your own Widget
Viewing your own Widget
Regulation Widget: Stay current with documents related to the regulations or acts that impact your business.
Features:
A snapshot of documents published over the past selected number of days by either All Sources, or Sources you specifically follow related to the regulation or act
Select the Regulation or Act you wish to follow.
Edit widget name, agencies, jurisdictions, document types and time period.
Duplicate to see another instance of the widget if you want to follow multiple Regulations or Acts.
Click on any document to view details within the standard document view.
Click on See All to see all documents referenced within the standard search view.
Click on the View Regulation icon to see the text of the regulation.
Task Velocity Widget: Review your organization’s, team’s or individual task velocity by month to review performance trends and determine whether you need to reallocate resources.
Features:
A snapshot of documents published over the past x days by either All Sources, or Sources you specifically follow related to the regulation or act
Check task velocity over the previous 6 months or weeks.
View all tasks/assignees or filter by assignee or workflow to evaluate trends.
Organization Admins can click through to review tasks in detail on the Manage Tasks screen.
Duplicate to see another instance of the widget if you want to follow team members and/or workflows individually.
Customizing the Dashboard
You can drag and drop any of these widgets to rearrange the order of the widgets to your preferences.
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.
Customized Dashboard Widgets
Your Compliance.ai Dashboard includes a variety of useful Widgets catered to many aspects of the regulatory landscape.
You can duplicate and edit widgets by clicking “Edit” to create customized views of documents over selected periods of time.
The Activities at a Glance 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.
By clicking on the three dots or edit 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
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:
Default Filters
Hone in on content that is critical to your business by using Default Filters. Narrow your content funnel by selecting three types of filters: Topics, Regulatory Sources (includes Agencies and Jurisdictions), News & Premium Content, and Document Types.
Topics: 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.
Regulatory Sources: Follow specific agencies in the jurisdictions where you do business.
Note: Remember to Add a Jurisdiction if you do business internationally and check for Other US Sources if you don’t see specific agencies you follow in the default US Agencies list. If you can’t find a regulator or jurisdiction you follow, you can always request new sources by clicking “Request More Info” and submitting a suggestion or contacting us at support@compliance.ai. Compliance.ai is committed to providing the documents you need. We follow hundreds of sources and add dozens more every month.
News & Premium Content: Review documents published by news & premium content providers to receive broader coverage of the themes and trends you care about most. If you would like us to follow additional News & Premium Content Sources, click “Request More Info” and submit a suggestion or contact us at support@compliance.ai.
Document Types: Surface only the document types that are most relevant to your areas of responsibility at a high-level (e.g., follow all types of Enforcement documents) or a very granular level (e.g., follow all types of Letters & Comments except Comment and Response to reduce noise) as needed.
You can find detailed information on document types on Compliance.ai’s corporate website:
The Compliance.ai Diffing feature allows you 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 highlighted text indicates it was added, and red indicates the text was removed.
Want to view the differences between two versions of one regulation, such as a Notice, Proposed Rule, and Final Rule?
Different versions of the same 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.
Enforcement Explorer
The Enforcement Explorer helps you stay abreast of enforcement documents issued by your default agencies. We extract key information from enforcements, including respondents, details on violations, and penalties, so that you can understand what’s occurring with your peer group without having to drill into each document. The enforcement graph also gives you a handy overview of the most active agencies over the previous months.
Features:
Review the enforcements graph to see the number of enforcement documents and penalties issued by the agencies you follow over the most recent month.
Search within this view or simply access the page to see today’s enforcement document.
Search by enforcement-specific data fields including: respondent, violation, and penalty amount.
Select a document to access document meta-data and the PDF via the Details right pane.
Access additional right pane tools for the document including: Expert Connections, Related Documents, Tasks (Team Edition only), and Annotations.
Select multiple documents to leverage cross-document tools located above the document list including: Add to Folder, Email, Print, Export via CSV, HTML or PDF, “Diffing”, and Add to Workflows.
Enforcement Explorer: View
Enforcement Explorer: View
Exporting Documents
Exporting regulatory documents in HTML, PDF, or CSV is easy with Compliance.ai. Simply select documents in the Search, Timeline, Enforcement, News, or Jurisdiction Analyzer view to share documents in your preferred format or analyze document contents or meta-data in a spreadsheet.
Exporting
Search and select documents in the Search, Timeline, Enforcement, News, or Jurisdiction Analyzer view.
Export Details:
You can only export 600 documents per day, so narrow your search to find the documents you need before starting the process. Once you have found your documents, click the Select checkbox on the left of the toolbar, choose the “Select all (up to 600)” link, and click the download icon.
Once you click Download, you will be able to select your preferred file type, PDF, HTML or CSV.
PDF & HTML files are downloaded individually within a single zip file. If you select a large number of files, you should expect that the process will take a few minutes.
HTML files are only available for sentencified documents. The diffing icon indicates which documents are available in HTML. You can also filter for sentencified documents by choosing Document Properties = Diffing available within basic or advanced search filters. Once you’ve selected documents, click the Export button in your toolbar to see information on how many of your selected files can be downloaded in HTML format.
There are two options for receiving CSV files.
Single document CSV files: Line-by-line CSV files that include each sentence within a single row on your spreadsheet are available for documents that have been sentencified. For efficiency, multiple CSV files are packaged within a zip file for delivery.
Multiple documents within a CSV file: If you want to export document meta-data without sentence-by-sentence content, you will receive data about all selected documents within a single CSV file.
Selecting data for CSV download. Once you have indicated that you wish to download a CSV file, you will receive an overlay allowing you to choose the specific attributes to include in your file. Remember that selecting Sentences will construct individual CSV files for each document.
The CSV download will begin once you Select Export from the overlay. As a backup, we also deliver the file to you via email.
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, check whether or not a document has been “read,” and complete analysis such as reviewing trends in enforcement violations.
Download fewer PDFs: Select PDF URL to generate a file with a list of direct links to the documents you are working on. Share with colleagues and review documents inside the platform.
Analysis: Export Sentences, including obligation assessment to facilitate line-by-line document assessments.
Example
Let’s say that you’re searching for enforcement documents published between June 17, 2019 and June 16, 2020 by the CFPB, FDIC, OCC, and FRS that mention “bank.”
Your search would look like this:
Check the select check box and choose “Select all (up to 600)” to export all 232 documents in your preferred format.
Folders
Compliance.ai is designed to help you keep track of critical documents and collaborate with your colleagues. Establishing and sharing folders is a great way to manage documents you need to review together for a specific project.
Creating a Folder
You can create a folder by clicking the Add Folder icon on the Folders screen, or by using the “+ New Folder” feature when adding documents to a folder.
Adding Documents to a Folder
To add documents to a folder, simply conduct your search, select the documents you wish to add, and choose the Add to Folder icon in the toolbar.
Sharing Folders
To share a folder, click the share icon, then add email addresses from the drop down list in the overlay. Note that only members of your organization will appear in the list.
Reviewing Folders
To access documents you’ve added to a folder, click on the folder name within the Folders page, and the documents will be presented in the Search view. You can remove documents from the folder by selecting them in the search view, then selecting “Remove from Folder”.
Insights
Insights gives you a graphical view of document and enforcement trends across agencies and time periods. Check Insights to understand trends in enforcement activities, rule publication, and regulations so that you can focus your attention on the right agencies, document types, and legislation today, and reallocate your resources to address areas that you expect will require additional scrutiny in the future.
Insights Widget Details
Regulatory Activities: Synthesizes data to help you understand the volume and velocity of key document types published by agencies over multiple time periods.
Features:
View data over your preferred time period: This Quarter (most recent 90 days), Last Quarter (prior 90 days), This Year (most recent 365 days), Last Year (prior 365 days)
Select to view either All Agencies within the platform or just “My Agencies”, which you have selected in your Default Filters
Hover over the graph to view document count
Click on the graph to review all documents represented within a specific agency / document type in the standard Search view.
Final & Proposed Rules: Presents a summary of final and proposed rules published by agencies over your preferred time period to help you plan resources.
Features:
View data over your preferred time period: This Quarter (most recent 90 days), Last
Quarter (prior 90 days), This Year (most recent 365 days), Last Year (prior 365 days)
Select to view either All Agencies within the platform or just “My Agencies”, which you
have selected in your Default Filters
Hover over the graph to view document count
Click on the graph to review all documents represented within a specific agency / document type in the standard Search view
Enforcement Actions: Past 12 Months: Helps you focus on the most active agencies by providing a 12 month snapshot of enforcement documents published by all agencies or just the agencies you follow..
Features:
Select to view either All Agencies within the platform or just “My Agencies”, which you have selected in your Default Filters
Hover over the graph to view document count
Click on the graph to review all documents represented within a specific agency / document type in the standard Search view.
Enforcement Action Violations: Review a summary of enforcements published over 18 months by type of violation and agency to gain an understanding of risk factors.
Features:
Heat map highlighting the distribution of enforcement violations by agency.
Select to view either All Agencies or just “My Agencies”, which you have selected in your Default Filters.
Financial Agency Trends: Dodd-Frank Act: Track final rules and enforcements related to Dodd-Frank over an extended period of time to understand the impact of this critical legislation.
Features:
See an aggregated view of all rules and enforcements published by key agencies including: CFPB, FDIC, SEC, FRS, and OCC related to the Dodd-Frank Act.
Hover to view document counts.
Click on the graph to see documents included in the standard Search view.
Enforcement Action Explorer: Check enforcement actions published by agencies you follow over the past 7 days and compare against longer-term Insight widgets to get a sense of change in pace and velocity.
Features:
Review enforcement action volume from agencies you follow over the previous 7 days.
Hover to view document counts.
Click on the graph to see documents included in the standard Search view.
Customizing Insights
You can drag and drop any of these widgets to rearrange the order of the widgets to your preferences.
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.
Jurisdiction Analyzer
What is the Jurisdiction Analyzer?
The Jurisdiction Analyzer allows you to compare rules & regulations 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 areas 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.
Using Jurisdiction Analyzer.
Step 1: Open the Jurisdiction Analyzer tab within Search Filters to begin your search. Select from the pre-defined list of Concepts and Metrics to create your search. Toggle on Default Filters to choose your standard jurisdictions or entering specific jurisdictions you wish to compare and click Search. Relevant document types are automatically selected for you.
Step 2: Review the map for a quick view of relevant documents by jurisdiction. You can click on the map to bring the country or state of interest into focus in the document area on the right of the screen.
Step 3: Scan documents to perform a jurisdiction-to-jurisdiction comparison. You can drag and drop to rearrange jurisdictions to facilitate this review.
Features:
Select and add documents to Folders for later review and to share with colleagues.
Send emails of up to 20 documents.
Print up to 20 PDFs with a single click via the toolbar.
Select and export documents in PDF, HTML, or CSV format. See Exporting Documents for details.
Select to “diff” 2 documents. See Diffing for details.
Select and add up to 10 documents to an existing workflow if you identify items requiring further analysis. (Available for Team Edition users only)
Click to access the right panel view for any document. See for details.
News
The News screen allows you to see all agency and mainstream news documents relevant to your search. News helps you tap into information related to the rules, regulations and enforcements you review every day.
Features:
View documents by publication date.
Search within this view or simply access the page to see today’s documents.
Select a document to access document meta-data and the PDF via the Details right pane.
Access additional right pane tools for the document including: Expert Connections and Tasks (Team Edition only).
Select multiple documents to leverage cross-document tools located above the document list including: Add to Folder, Email, Print, Export via CSV, HTML or PDF, “Diffing”, and Add to Workflows.
Obligation Review
You can access and review content categorized as obligations. 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:
Search for documents with Obligations
Access system-generated Obligations and create your own Obligations
Add Obligation review to workflows (Team edition)
1. Search for documents with Obligations
To find documents that include Obligations, select “Document Properties = Obligations” within Search Filters.
2. Access system-generated 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.
Selecting an Obligation navigates to the relevant section of the documents from which the obligation was classified.
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 sequentially based on 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. Team Edition users will also see Obligation Review tasks for any workflows to which the document is assigned listed for Obligations marked “Y.”
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.
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.
Resources
Resource Navigation: The Resources Section provides a view of less frequently updated documents that you may use for reference such as CFRs, US Code, Public Law, State Statutes, State Administrative Code. We provide the documents in a familiar, easy-to-use accordion style format to help you quickly locate the specific document you need for your research purposes.
If you wish to create a list view of all documents within a specific branch, click on the location, which you’ll find immediately above the accordion view. Clicking the location link collects all documents found within the branch and presents them in the Search view, allowing to leverage standard toolbar features, such as exporting in bulk, and establishing alerts.
All standard document functionality including Details (document meta-data), Changes, Expert Connections, Tasks, Annotations, Obligations are available for rules & regulations through the right pane.
Jurisdiction Analyzer: You will also find the Jurisdiction Analyzerwithin Resources, which will allow you to compare rules & regulations across jurisdictions.
Expert Connections: To help supplement your research, Compliance.ai provides you with links to experts who can provide guidance on critical industry topics and regulations. The experts can provide guidance in the form either of consultative services, or through access to their own premium content such as whitepapers, sample rules and guidance.
Tasks: Creating and Managing Workflows
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.
Creating a workflow
Compliance.ai’s automatic workflow helps you assign tasks, track due dates and monitor progress relevant to specific regulatory changes.
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, but if you have a standardized corporate process, you should create a template and share across your organization.
Start with a Template: This option will allow you to import an existing template you have used in a previous workflow.
Start From Scratch: This option allows you to customize a new series of action items and team assignments.
Step 3: Select the Alert you would like to trigger the workflow.
Any time a change occurs related to that specific alert, the same series of tasks will be assigned.
Note: You can choose to backdate this workflow up to 30 days prior by selecting the “Published Since” date if you want to start evaluating documents that have already been published.
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, Comment Close Date, or Task Creation Date. In most cases, users select Publication Date for the first task in a workflow, but if you anticipate adding the workflow to previously published documents, you may wish to select Task Creation Date to ensure that the first task is always due in the future.
Next, assign the task to a member of your team. If you or others in your organization would like to be notified about the status of a task, you can add those individuals to the “Notify” field.
You can apply additional requirements like attaching documents, adding notes within a text field, adding a date, or creating a single or multi-select dropdown. You can choose to make any of these annotation fields required or optional. If you select required, the assignee must enter complete the annotation before they can mark the task done.
The dropdown selection is useful for tasks with a standard review criteria for example, “relevant” or “not relevant.”
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 dropdown 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.”
You can make subsequent tasks either Relevant or Not Relevant depending on your preference. In addition, you can make tasks dependent on one or more upstream tasks. This might be helpful if the workflow involves engaging other teams only in specific circumstances.
Step 6: Review the workflow and save
Once you’ve completed adding the recurring 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.
Obligation Review Task
Note: If reviewing legal obligations is part of your workflow, make sure to use the special “Obligation Review” task. The obligation review task not only creates a general document-level task, it also creates a task that is specific to each legal obligation identified in the document.
Obligation Review steps will be created for each obligation within a document, including both system generated and user generated obligations. These tasks are only activated if you indicate that the obligation is relevant to your organization.
Managing Workflows
The Manage Workflow page allows you to add new workflows and rename, edit, or delete your existing workflows. Simply click the pencil icon to edit the workflow, use the trash can to delete a workflow that’s no longer needed, or click the +/- to view/hide workflow details on screen.
Tasks: Managing Tasks
Team Edition users can review their tasks in either a List or a Calendar View from the main Tasks page. You can use filters to see your own tasks only, or if you are an Organization or Team Admin, view the tasks of others in your organization or team. Hide tasks that have not yet been activated because they are dependent on upstream tasks (blocked tasks) or filter by workflow to easily find specific tasks.
Clicking on a task will automatically open the task/workflow in question in the right pane so that you can complete the task without ever leaving the page.
Organization Admins can also use Manage Tasks to auto complete, revert completed tasks to not done, or delete tasks in bulk when needed. Filter by workflow, task name, task status, created dates or due dates to quickly locate the tasks that need attention.
Tasks: Managing Your Organization and Teams
Compliance.ai’s Team Edition helps you oversee your organization’s access to the platform, enables you to manage roles within the system, and create teams that can participate in your workflows.
Once you have established your colleagues in the system, organization admins can determine the most appropriate role for each member of the organization, invite new members, and delete individuals who no longer need access to the platform.
Roles:
Tasks: Reporting
Compliance.ai keeps a comprehensive record of all actions taken on your tasks and workflows. Our reports are designed to help you keep track of all tasks assigned, with specific details of actions taken on each task, including task creation, assignment, and reassignment, comments added, drop down selections, attachments added and task completion. Each action is time stamped to ensure that you have a full, auditable history of all workflow activities in the system. You can export these reports during audits, for resource planning, and to report to executives.
Specific reports include:
Task Audit: Report includes a full task history of all tasks within the system over a specific time period. This report is designed to help you respond to audits and allocate resources.
Features:
Select a specific time period or export all records by leaving from/to dates blank.
Select specific data fields for export.
A Certified version of the report, which includes a valid X.509 certificate. This provides proof that the document has not been altered.
You can use the Export Template to leverage built-in pivot tables designed to highlight bottlenecks, velocity, pace and efficiency concerns related to your current workflows. This report can also justify the activities within the organization in terms of processes, rules, and policies within your organization. Simply copy your exported task report CSV file into the Excel template to review this information.
Sample: Certified Report
Sample: Task Report Template
Workflow Audit: This report provides details about one or more workflows created or edited during a specific time period. It is designed to help you monitor your workflows and track changes make in the workflows themselves over time, so that you are aware of any differences in how your team members are completing steps in their workflows for documents over time.
Features:
Export details for one specific workflow only or across all workflows.
See any changes made to your workflows over time.
Obligation Audit: This report is designed to help you with your legal review of documents. Get a comprehensive report of all obligation-related tasks, including adding user-generated obligations, indication of whether an obligation has been deemed relevant (Y or N), drop-down values selected, comments, labels and attachments.
Features:
Select a specific time period or export all records by leaving from/to dates blank.
Select specific data fields for export.
Provides comprehensive details on all actions taken related to obligations. This includes both actions taken on the document-level obligation task and task related to specific obligatory language within the document.
Task Audit – Snapshot: If you need to check the current status of all workflows/tasks, the Task Audit – Snapshot report is your solution. Simply select a specific time period created within a specific time frame without filtering through complete task history.
Select a specific time period or export all records by leaving from/to dates blank.
Select specific data fields for export.
Provides an easy-to-digest current status of all tasks created during the selected time period. There’s no need to wade through rows of changes when you only need to understand the current state of your tasks.
Timeline
The Timeline allows you to see all documents relevant to your search based on either publication date or key dates including comments close and effective dates. Because it defaults to today’s date it’s a great way to be sure you’re tracking the most relevant, recent documents.
Features:
View documents by publication date or key dates including comments close and effective dates.
Search within this view or simply access the page to see today’s documents.
Select a document to access document meta-data and the PDF via the Details right pane.
Select multiple documents to leverage cross-document tools located above the document list including: Add to Folder, Email, Print, Export via CSV, HTML or PDF, “Diffing”, and Add to Workflows.
Frequently Asked Questions (FAQs)
How do I know Compliance.ai sources are up-to-date?
Compliance.ai updates source data constantly — we add thousands of documents every day.
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 “View PDF” button. If you click the arrow to the right of that button, you will have the option to view that PDF on the agency website.
How do I know which sources I can find on Compliance.ai?
Check Default Filters > Regulatory Sources or access documentation on our public website to view a current list of agencies and jurisdictions.
How can I request new sources?
We’d love your input on sources you’d like to see added to Compliance.ai. You can make a source request by clicking the Request More Info link in Default Filters > Regulatory Sources and leaving a message, using chat within the platform, or emailing us at support@compliance.ai.
How can I request new features or enhancements to the Compliance.ai platform?
We’re interested in understanding your experience with our platform, including both the pro.compliance.ai website and our API. You can suggest a feature enhancement or new feature by using chat within the platform or emailing us at support@compliance.ai.
How can I share documents with my colleagues?
Compliance.ai is designed to help you collaborate with your colleagues by using features like shared folders, alerts, annotations, and workflow capabilities. When you need to partner with a wider group, you can share documents with colleagues who do not have a license to the platform by simply sending the URL to the document you wish to share. The recipient will not have access to annotations and other collaboration capabilities, but they can access Compliance.ai’s rich metadata through Compliance.ai’s Basic User (free) platform.
How do I manage my subscription?
If you would like to add users or update your subscription, connect with our support team at support@compliance.ai.
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.
How do I submit a bug or enhancement request?
We love feedback, and are eager to quickly resolve any issues you might be experiencing. Send an email to support@compliance.ai. If possible, please provide details including the user ID or the individual experiencing the issue, the time you encountered the problem, and, if you encountered the problem while using pro.compliance.ai, name of the browser / browser version. We’ll review the information and incorporate required fixes into a future release.
How do I schedule a training session?
For new licensed users, our support team is always happy to schedule a time to walk you through the entire platform. These onboarding sessions are divided into two sections: the first focusing on the platform as a whole, and for our Team Edition users, the second onboarding focuses on setting up your first Workflow.
How can I reach a support representative?
Our support team can be reached at support@compliance.ai or via the chatbot at the bottom right of the platform.
Technical Requirements
Review these recommended technical requirements to get the best performance out the Compliance.ai platform when using the Pro, Team, Service Connector or Developer API editions.
For an optimal experience, we recommend clients use the latest stable releases of the following browsers:
Chrome
Edge
Firefox
Safari
Compliance.ai will no longer support Microsoft Internet Explorer 11 (IE 11) as of April 1st, 2021; however, you will still be able to use IE 11 with sub-optimal results (certain features may not work, performance will not be optimal).
Memory requirements:
Minimum of 8 GB of RAM, 1 GB available to browser
The amount of RAM available to the browser on your computer also has a significant impact on performance. With less available RAM, you can expect slower page load times and possible search/report result failures.
Network requirements:
Internet access to *.compliance.ai
Download speed of 3 Mbps or greater
Upload speed of .5 Mbps or greater (to attach documents)
Network latency of 150 ms or less
Hardware/Performance requirements:
Octane score of 30,000 or greater* (see below for details)
* Octane is a benchmark developed by Google that measures JavaScript performance. A higher Octane score correlates to faster page load times. Octane factors in your computer hardware and browser choice. Using newer-generation hardware with faster CPUs generates higher Octane scores.
You can determine your system configuration’s Octane score by running a free utility available on Github: https://chromium.github.io/octane/
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Kayvan Alikhani
Co-Founder & CEO
With more than 25 years of experience in hi-tech, Kayvan leads operations, strategy, sales, and marketing for Compliance.ai. Most recently, Kayvan led the identity strategy at RSA, and represented EMC on various industry alliances such as the FIDO board. He is Co-Founder and CEO of PassBan (acquired by RSA), a company focused on mobile identity assurance. Kayvan also led strategy at LiteScape (as CTO and later as CEO), creating security and mobile identity solutions for VOIP based networks. He was Co-Founder and CTO at BeNotified, a cloud mobile communication service provider. Prior to that, Kayvan co-founded AVIRNEX, a cloud-based enhanced fixed and mobile communication service provider.
Pete Williams
Board Member
Pete Williams is a Partner and the Chief Operating Officer of Cota Capital, an investment firm focused on public and private modern software technology companies. Pete has over 30 years of experience working with public and private technology companies in operating, finance and legal roles. Pete has served in a number of publicly-traded software company executive positions, including Chief Financial Officer, EVP of Corporate Development and General Counsel. Previously, Pete was also a partner in the Silicon Valley office of a multi-national law firm where he specialized in corporate finance and intellectual property transactions.
Bobby Yazdani
Co-Founder & Board Member
Bobby Yazdani is Founder and Managing Partner of Cota Capital, a firm investing in private and public technology companies. Bobby has successfully mentored entrepreneurs and invested in over 100 early-stage startups. In 2014, Bobby was ranked #1 out of 2000 angel investors for successful follow-on funding by CB Insights. In 2015, Bobby endowed the Signatures Innovation Fellowship at University of California, Berkeley to support data science projects with commercial promise.
Richard Dupree has held multiple Risk, Compliance and Operations positions at regional, national, and global financial services firms including Wells Fargo, Silicon Valley Bank, Bank of the West and BNP Paribas. Rick currently advises FinTechs and RegTechs and sits on industry panels, contributes to industry whitepapers, thought leadership efforts, and speaks at industry seminars on Risk and Compliance challenges faced by banks and FinTechs.
John McCarthy has been directly involved in national security, law enforcement, and compliance fields for more than two decades. John is currently SVP, BSA/OFAC Officer at Bank of Hope. Prior to his current position, he was SVP and Deputy BSA Officer, Operations at Bank of the West, Chief Compliance Officer at Airbnb Payments and launched the company’s compliance programs across the enterprise.
Mariam is an Operating Principal at Cota Capital. Mariam has experience providing guidance on strategic and operational planning to Venture and Growth stage companies. Prior to Cota Capital, Mariam spent her career in management consulting as a Director at KPMG. She has experience leading global transformation programs and developing innovative service offerings for Fortune 500 companies in the Technology sector. Mariam has an MBA from UCLA’s Anderson school of management with an emphasis in Finance and Entrepreneurship. She has a Bachelors in Science in Finance and a Bachelors in Science in Economics from Santa Clara University.
Drake Ross is a former bank regulator who specialized in compliance with consumer protection regulations while at the OCC, FDIC, and OTS. While at these agencies, he provided extensive training and guidance and developed materials to ensure full comprehension and proper application of rules, laws, policies, and guidance, and served as a Subject Matter Expert in numerous areas. Because of his expertise, he often presented at agency and industry events. He also played a significant role in successful windup of the 2008 IndyMac Bank failure, where because of his extensive knowledge of the FDIC deposit insurance regulations, he was called upon to administer highly-complex insurance determinations.
Chris Callison-Burch is an Associate Professor in Computer and Information Science Department at the University of Pennsylvania. His research interests include natural language understanding and crowdsourcing. He has served the Association for Computational Linguistics as the General Chair for the ACL 2017 conference, as an action editor for the Transactions of the ACL, as an editorial board member for the Computational Linguistics journal, and an officer for NAACL (the North American chapter of the ACL) and for SIGDAT (the special interest group for linguistic data and corpus-based approaches to natural language processing)
Tom Ladt is an experienced executive and investor. Tom has lead and served on the boards of several public and private companies serving highly regulated industries such as technology, healthcare, real estate, and food processing. Tom has also served in key governmental roles and on numerous community boards.
Jeroen Plink is a global executive with a proven track record of developing and growing businesses, teams, and technologies with innovation and passion. Jeroen was CEO of Practical Law US during its acquisition by Thomson Reuters. He now serves on numerous boards and acts as a strategic consultants for start-ups.
Global Legal and Compliance executive with 15+ years of success in the SaaS technology and financial services industries. Partner to the CEO and executive team in corporate transactions, business development, product expansion, and regulatory navigation during periods of intense growth and organizational change. An advocate of effective risk management that starts with sound business practices and putting the customer first.
Brian advises clients on legal and regulatory compliance in the financial, tech, and procurement sectors. His passion is helping businesses succeed in heavily regulated environments. As counsel and trusted advisor to businesses of all sizes, and as a former regulator, policymaker, and federal official, Brian acutely understands the unintended burdens that even well-intentioned government requirements can put on innovation and business growth, as well as how to create policies that strike the right balance.
Brian served as National Ombudsman in the Obama Administration, leading the federal Office of Regulatory Enforcement Fairness in assisting hundreds of startups, entrepreneurs, and small business owners in every industry and every state.
Dr. Marsha Ershaghi Hames is Managing Director of Strategy & Development at LRN, a leader in advising and educating organizations about ethics and regulatory compliance, as well as corporate culture, governance and leadership. With the focus of inspired behavior versus required behavior, LRN is a leading voice in the industry for companies to build ethical cultures instead of “check-the-box” compliance approaches. She’s advised Department of Justice corporate monitors on successful program transformation under CIAs (Corporate Integrity Agreements. With over 20 years of experience in leading multinational ethics and compliance strategies, Marsha has become a highly sought-after thought leader on leading Corporate Compliance and Ethics practices.
Carla Carriveau is currently the Senior Managing Counsel at Wealthfront, an automatic investment service firm in Redwood City, California. Carla was previously Senior Counsel, Division of Trading and Markets, at the United States Securities and Exchange Commission. As a former regulator with over 15 years of experience in helping small businesses navigate legal and regulatory needs in the financial services sector, Carla advises Compliance.ai on financial services regulation, the regulatory landscape and industry practices.
Reza Sadeghian is an innovative Senior Executive and Consultant with more than 40 years of success spanning technology and IT, software and SAAS, and startups. Reza has held leadership positions with SAP America and SAP AG, Synopsys Inc., Veritas Software, Applied Materials, and Nestle USA. He served as a Board Advisor and Angel Investor to numerous companies, including Clever Sense, PassBan Intelligence Security, BINA Technology, Genome Analytics, and currently works with exciting startups such as Compliance.ai, VMDOC, BaseHealth, Atheer Labs, PuraCath, and Trayt.
Carliss Chatman is an Assistant Professor of Law teaching Contracts, Agency and Unincorporated Entities, Corporations, and Transactional Skills. Her work is influenced by over two decades of service on non-profit boards and involvement with community organizations. Through leadership positions, she has developed expertise in corporate governance and non-profit regulation. She has also been instrumental in strategic planning and fundraising efforts. Prior to law teaching, Professor Chatman was a commercial litigation attorney in Houston, Texas. In practice, she focused on trial law, appeals and arbitration in pharmaceutical, health care, mass torts, product liability, as well as oil, gas, and mineral law. In addition to negotiating settlements and obtaining successful verdicts, Professor Chatman has also analyzed and drafted position statements regarding the constitutionality of statutes and the impact of statutory revisions for presentation to the Texas Legislature.
Hugh Cadden is a recognized expert in derivative financial and trading markets including futures, options, and swaps. Hugh is currently a senior consultant and expert with OnPoint Analytics, Inc. an economic, finance and statistical consultancy specializing in expert testimony for complex litigation. He has been specializing in the organization, operation, and regulation of financial and trading markets for over 40 years. Hugh’s experience includes both the public and private sectors and he has held senior level positions with the U.S. Commodity Futures Trading Commission including serving as Director of the Division of Trading and Markets and Deputy Director of Enforcement. He has been qualified as an expert on financial and trading market matters before the Commodity Futures Trading Commission, the Securities and Exchange Commission, the U.S. Tax Court, Financial Industry Regulatory Authority, National Futures Association, American Arbitration Association and federal courts.
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Maria Devassy is a RegTech, Content, and Technology leader with over 20 years of experience helping companies bridge the gap between technology, product, and business. Maria has held leadership positions with MetricStream, KPMG, Oracle Corporation, and other technology companies. She has launched several successful RegTech products, business partnerships, and advised Fortune 100 clients on risk management, audit, advisory, and compliance business across Industries.
Cesar Lee is a Principal at WRV, a venture capital fund focused on early-stage investments in hardware, semiconductor, and other technology-related companies. Previously, he was an investment professional at Riverwood Capital, a technology-focused, late-stage venture capital, and private equity fund. He began his career at RBC Capital Markets, where he was part of the Mergers & Acquisitions group for two years and the Equity-linked & Derivatives group for one year. While at RBC, Cesar spent a majority of his time working on M&A advisory transactions for technology companies.
Cesar’s investment experience includes buyouts, later stage, early stage and seed rounds. Cesar has completed transaction in the U.S., Latin America, and Asia, and in technology sectors including data centers, software, semiconductors, consumer electronics, robotics, big data, and internet.