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AI agent for chief compliance officers

Regulatory Change Impact Agent

Every relevant rule change mapped to affected policies and owners

ComplianceHuman resourcesManagementFinanceLegalExecutives and strategy
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Regulatory Change Impact Agent: what goes in, what the agent does and what you get

What it does

Compliance teams struggle to keep up with new rules, guidance and enforcement actions, and missed changes become audit findings. Each week this agent scans regulator websites, official journals and enforcement actions for the firm's areas. It filters out items that do not apply to the firm's profile and summarizes the rest in plain language with effective dates. For each relevant change it searches the policy and control library for what is affected. It checks each link by confirming the policy really covers the topic, and searches again when a match is weak. A change with no matching policy becomes a new gap. It drafts the gap assessment with action items and deadlines. The compliance officer approves the assessment and assigns owners. Edge case: a rule applies only above an asset size, so the agent checks the firm's size first.

How it works

Follow the arrows from top to bottom. The orange dashed arrow is the loop: when a check fails, the agent goes back and tries again.

Start and resultWhat it doesA check on its own workWaits for your OKGoes back and retries
Yes, continueApprovedNo 1 STARTS WHEN Weekly regulatory scan 2 USES A TOOL Collect new rules, guidance and actions 3 DOES Filter by firm profile and summarize 4 USES A TOOL Search policies and controls for affected items 5 CHECKS THE RESULT Does each linked policy really cover the topic? If not: search again with other terms or mark as a newgap. Back to step 4. 6 DOES Draft gap assessment and actions 7 YOU APPROVE Compliance officer approves and assigns owners 8 RESULT Change log and action tracker updated
Read the steps as a list
  1. Weekly regulatory scan
  2. Collect new rules, guidance and actions
  3. Filter by firm profile and summarize
  4. Search policies and controls for affected items
  5. Does each linked policy really cover the topic?If not: search again with other terms or mark as a new gap. Back to step 4.
  6. Draft gap assessment and actions
  7. Compliance officer approves and assigns ownersThe agent waits here for your OK.
  8. Change log and action tracker updated

How it decides

It filters by jurisdiction, business line and size, then matches change topics to policies and controls.

  • Effective within 90 days: high priority
  • Applies only above size threshold: check firm size
  • No matching policy: new gap

Make it yours

Every agent is a starting point. You choose these settings for your own situation.

  • Sources and jurisdictions
  • Firm profile filters
  • Priority rules
  • Tracker format

What keeps you in control

It always asks you first

  • Impact assessments
  • Assigning owners and deadlines

Hard limits

  • Never gives legal opinions
  • Never changes policies

It stops when

  • Done: log updated
  • Stop: source unreachable

Set it up

We guide you through the set-up, step by step

Members get the full set-up guide for this agent. No technical skills needed: you copy, paste and upload.

10 minto set it up in your AI
5 AIsChatGPT, Claude, Copilot, Gemini, Grok
  • One set of instructions to paste into your AI, with the clicks for ChatGPT, Claude, Microsoft 365 Copilot, Gemini and Grok
  • The agent then walks you through connecting your own data, one source at a time
  • A downloadable copy with the flow chart, the rules and the full guide
Get access to this agent

An example run

What happensIn the March 10 scan, a new marketing rule appeared with a six-month effective date. The agent linked it to the advertising policy and two controls. The link check failed on one control, which covered social media only. It searched again and found the website review procedure was also affected. The compliance officer approved the assessment and assigned three owners.

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