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


FINRA enforcements decreased 70% over the past 30 days


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


161 Final Rules go into effect in the next 30 days


36 Mortgage Lending docs published in the last 7 days


1460 docs with 2637 extracted obligations from the last 7 days


1415 new Proposed and Final Rules were published in the past 7 days


8545 new docs in pro.compliance.ai within the last 7 days


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Enforcement Actions

Our Enforcement Explorer helps clients to avoid costly penalties by proactively tracking enforcement actions, delivering immediate alerts when enforcement actions are published, and initiating workflows to ensure your firm achieves compliance.

Monitor Enforcements

Proactively monitor enforcement actions from the regulatory agencies that you track using the Enforcements Explorer.

The Enforcement groups enforcement actions by issuing agencies. When you select the bar on the graph, the solution filters the related documents below the graph for convenient and fast access.

Understand Your Risk

The Enforcement Explorer saves time by extracting key information from enforcement documents, including respondents, details about the violation, and penalties. This means that you can quickly understand findings against peer BFSI organizations without having to review each enforcement document.

Gain Deeper Insight

Use the Enforcement Explorer to find enforcement documents of the most concern to your firm. Search enforcement documents by publication date, jurisdiction, topic, respondent, agency, violation, and penalty amount.

React Quickly

The Enforcement Explorer allows you to save search criteria to review periodically. The solution sends you immediate alerts and email notifications any time a new enforcement document is published. This allows you to immediately understand the enforcement action and identify changes that your firm needs to make to avoid an enforcement action against your firm for similar situations.

Keep Your Team Up To Date

Once an enforcement document is published, the solution enables you to add annotations, associate related documents, and include all relevant information in a workflow process to ensure that required changes are addressed. You can also keep others in the loop by emailing the information directly from Compliance.ai.

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