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

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FINRA enforcements decreased 70% over the past 30 days

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CME issued enforcements: $1,241,754.92 over the past 30 days

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161 Final Rules go into effect in the next 30 days

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23 Mortgage Lending docs published in the last 7 days

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1460 docs with 2637 extracted obligations from the last 7 days

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

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2668 new docs in pro.compliance.ai within the last 7 days

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Considering RCM Solutions?  Here’s an RFP to get started.

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Regulatory Intelligence

Our regulatory intelligence solutions serve as a “command center” that delivers focused, actionable insights for the entire firm.

A Command Center for Oversight and Control of Regulatory Change

The legal, risk and compliance teams at financial services firms struggle to manage the complexity and volume of regulatory change. Traditional approaches to RCM—internet searches, email newsletters, and spreadsheets—tend to hide compliance gaps, increasing the risk of audit and exam findings, and undermining confidence in compliance.

Compliance.ai eases the regulatory burden with personalized, role-based dashboards that deliver global regulatory intelligence (not just data!); that is, focused, actionable insights for every regulatory professional.

Compliance.ai’s regulatory intelligence dashboards automatically monitor updates, organize content, and highlight potential compliance issues to provide more oversight and control for the entire firm.

Compliance Transparency for The Entire Firm

All people in the firm involved with legal, risk, and compliance matters use a personalized dashboard to monitor regulatory intelligence about regulatory affairs and compliance status.

Personalized, Targeted Alerts

Every Compliance.ai user configures their own regulatory intelligence preferences to stay up-to-date with the regulatory environment; including the specific agencies, topics, and regulatory requirements that they monitor. Compliance.ai supports unlimited alerts so that you are informed immediately about any updates in regulatory affairs. Alerts call your attention to any new information published by particular regulatory agencies, including any changes to regulations, rules, and topics-- they even monitor multiple versions of proposed future regulations. With alerts, regulatory professionals and managers can better prioritize compliance tasks based on upcoming deadlines and developments.

Intelligence, Not Just Content

Monitor regulatory changes with a real-time, personalized stream of organized and relevant regulatory content from virtually any source and across all jurisdictions. Coverage also includes whitepapers, guidance and commentary from legal, risk, and compliance subject matter experts and news agencies.

Enriched Regulatory Content

Compliance.ai automatically scans and tags regulatory documents to create an organized, searchable regulatory library that provides additional context and guidance for decision-making. In this way, our regulatory compliance solution adds intelligence to your regulatory change management process by identifying the key attributes of regulatory changes:

  • Agency
  • Jurisdiction
  • Rules
  • Versions of the same regulatory document
  • Obligations
  • Impacted controls and policies
  • Regulatory Topics
  • Similar regulations
  • Document type
  • ...and much more

Filter Out the Noise

There’s never enough time in a day, right? We get it. That’s why Compliance.ai helps you to focus on what’s important by using your preferences to automatically determine which regulatory documents are relevant to your firm and filters out those that you don’t need to review. This means that you don’t have to waste time on documents that are not applicable to your role or line of business.

Compliance.ai saves you time by filtering out documents that are not relevant to your business.

Our Filtering Capabilities are a Big Deal

With Compliance.ai’s automatic content filtering capabilities, legal, risk, and compliance teams reduced the average number of documents they reviewed from 25,537 down to 585 each year.

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Why Are Compliance Professionals So Stressed?

Do you know how much time and effort your team spends on regulatory impact analysis? Typically there are up to ten steps involved:

Find regulatory changes by digging through the websites and documents issued by numerous agencies in various jurisdictions, news publications, whitepapers, executive orders, supervisory guidance and enforcement actions.

Transfer information about regulatory changes that may impact the firm into spreadsheets to determine the regulatory impact. This means that, although the compliance team has carefully reviewed multiple sources of regulatory change and guidance, they have already wasted precious time finding and managing information that may not apply to the firm’s lines of business.

Unsure how to select the best regulatory change management solution for your firm? Our RFP Template can point you in the right direction.

DOWNLOAD RFP TEMPLATE
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