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AI agent for compliance officers

Regulatory Filing Calendar Agent

Every regulatory filing submitted complete and on time

ComplianceAdministrationLegal
See how it worksGet access
Regulatory Filing Calendar Agent: what goes in, what the agent does and what you get

What it does

Missing a regulatory filing deadline brings fines and scrutiny, yet inputs come from many owners who are often late. This agent keeps the filing calendar. It lists each filing with its deadline, owner and inputs. Each day it checks which filings are inside their lead window, 30 days for annual filings, and requests inputs from owners. It validates each input against the filing form, including totals and required fields. If anything is missing or fails, it chases the owner and checks again, escalating inputs more than five days late. It prepares the filing package for review. The compliance officer approves and submits, and the agent logs the confirmation. Edge case: a deadline falls on a holiday, so the agent applies the regulator's rule on the next business day.

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 Daily calendar check 2 DOES List filings in lead window 3 USES A TOOL Request inputs from owners 4 USES A TOOL Validate inputs against form 5 CHECKS THE RESULT Are inputs complete and valid? If not: chase the owner and recheck. Back to step 3. 6 YOU APPROVE Compliance officer approves and submits 7 RESULT Filing logged with confirmation
Read the steps as a list
  1. Daily calendar check
  2. List filings in lead window
  3. Request inputs from owners
  4. Validate inputs against form
  5. Are inputs complete and valid?If not: chase the owner and recheck. Back to step 3.
  6. Compliance officer approves and submitsThe agent waits here for your OK.
  7. Filing logged with confirmation

How it decides

It starts requests at set lead times and requires validation before review.

  • Lead time 30 days for annual filings
  • Holiday deadline: apply regulator rule
  • Input late by 5 days: escalate

Make it yours

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

  • Lead times
  • Escalation rules
  • Filing list
  • Validation checks

What keeps you in control

It always asks you first

  • Submitting filings

Hard limits

  • Never submits filings
  • Never changes inputs

It stops when

  • Done: filed
  • Stop: regulator portal down, document attempt

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 happensAn annual filing due March 31 needed 6 inputs. By March 10 two were late, so the agent chased both owners. One came back with totals $120,000 off the audited financials, so the validation check failed. The agent returned it with the difference shown, and the corrected input passed. The compliance officer approved and submitted the filing on March 28.

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