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225 Enforcement Actions in the U.S. over past 30 days
FINRA enforcements decreased 70% over the past 30 days
CME issued enforcements: $1,241,754.92 over the past 30 days
161 Final Rules go into effect in the next 30 days
23 Mortgage Lending docs published in the last 7 days
1460 docs with 2637 extracted obligations from the last 7 days
97 new Proposed and Final Rules were published in the past 7 days
2668 new docs in pro.compliance.ai within the last 7 days
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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.
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.
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.
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.
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.
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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