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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.




Review the Latest Enforcement Actions

Download Compliance.ai’s quarterly eBook with a comprehensive review of enforcement actions for the previous quarter.

Integrated Risk Management Enforcement Explorer

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