Product Guides

To help you hone in on items critical to your organization, we’ve developed Business Profiling. With business profiling, You can simply find your organization using a search within Profile > Admin double check your profile, and we’ll recommend the topics, concepts, agencies, and news & premium content sources that are most pertinent to your business. 

Step 1: Selecting your Organization

If you are an org admin, you can establish your organization profile by clicking Profile > Admin, then entering your organization name within the Profile screen. Once you’ve confirmed your organization, you can review and update profile information.

Step 2: Confirming your Jurisdictions

Once you have added your organization, you will receive suggested jurisdictions. You can update to add or delete jurisdictions as needed.

Step 3: Confirming your Businesses

After updating jurisdictions, you can review and update lines of business. If your organization operates in multiple countries, you can specify different lines of business for each country.

Step 4: Confirming your Profile

Now, simply confirm your profile and click Finish to receive the suggested Default Filters.

Step 5: Verifying your Defaults

Once you have completed your organization profile, you can confirm the recommended default values by clicking on the Customize My Default Filters button. You will be redirected to the Default Filters page, where you can review two possible settings. 

My Defaults: These are your personal defaults. You can branch off from Organization/Team defaults by selecting your own preferences.

Team/Org Defaults: These are the Organization and/or Team level defaults. If you’ve just completed the organization setup process, these defaults will correspond to our recommendations based on your jurisdictions and businesses. If you use the Team Edition and have set up teams, these defaults will correspond to the defaults set up for the teams of which you are a member.

Admin: Team Profiles

We know that not every team is alike, so using Team Edition, you can customize default filters for individuals in your organization by creating defaults tailored to your teams. To leverage team-specific defaults, first, create teams.

Step 1: Create Teams

After you’ve established your organization’s profile and added users, you can begin creating teams. As an Org Admin or a Team Admin, access Profile > Admin > Teams and “Create a New Team”. You can now add users to your new team.

Step 2: Customizing Defaults for Teams

After you have created your teams, simply choose the teams for which you want to customize defaults, then update Topics, Regulatory Sources, News & Premium Content and/or Document Types. Once you have your teams and team defaults established, each individual user’s defaults are set according to their team(s)’ defaults. 

Monitor regulatory content and news by creating custom alerts. You can add any number of custom alerts based on search criteria to identify specific sets of documents that impact your business. Once you’ve established your alerts, you won’t need to search again because you’ll be notified automatically once new documents that meet your alert criteria are published.

Need help defining alerts for critical aspects of financial product, operational, risk and compliance management? Try using Compliance.ai’s out-of-the box Concept alerts. Select the Concepts that are of interest to you in Default Filters > Topics, then access on the Concepts tab within Notifications.

Creating a new Alert

Step 1:

Select Filter in the search bar and enter search criteria using parameters such as Agency, Jurisdiction, Dates, and free text entry fields such as Title and Full Text, then click Search.

Please refer to our Basic and Advanced Search Guide for tips on how to optimize your search results.

Step 2:

Check your search results, and once you’re satisfied that you’re receiving the expected results, click “Turn on Alerts” located to the right, below the Search Bar.

Please note: Depending on your search and filter criteria, there might not be any documents listed, yet. This can happen, for example, for new regulatory topics and upcoming legislation. However, if you are expecting some results to be shown, then it is likely you have a conflicting item selected in your filter.

For example: If you select Document Type “Rule” and conduct a Title search for something that is currently only a Proposed Rule, no results will be returned. Once the Rule is published, you will receive an alert.

Step 3:

Save your Search and click “Create.” Then save the alert. It will automatically be populated with the keywords listed in the Search bar, you can rename the alert without affecting the search criteria.

Step 4:

Next, you can update the frequency of your notifications via the hyperlink in the confirmation or by selecting the Notifications tab.

From the Notifications tab, find the alert you created and use the dropdown menu to select the frequency of your email notification. You can also choose to not be notified by email, simply deselect all.

• Hourly: updates you within an hour after the document is added in the product.
• Daily: sends you a summary of any new content at the end of the day.
• Weekly: sends you a summary of any new documents published over the past 7 days. Weekly email summaries are sent on Wednesdays.

Common ways to use Compliance.ai’s Alerts and Notifications

1. Email Alerts: Rely on email alerts to indicate when you need to log into the product to review new relevant documents.
2. Sharing Alerts: You can share alerts with other members of your team so that you can all receive notifications and leverage the same set of saved searches. (Please note, this is limited to individuals within your organization who have a Compliance.ai login ID.)
3. Create your own Dashboard Widget: You can create your own custom dashboard widget for any alert. Simply click the three dot more features icon for the alert and choose “Create Widget”. A new widget will be automatically added to your dashboard. The widget is automatically kept in sync with any changes you make to the alert, so once it’s been added, it’s always up-to-date.
4. RSS Feed: Team Edition users have access to RSS links for alerts. You can use these links to review resulting documents in popular RSS reads or to integrate with many platforms you may use in your organization such as your GRC or document management system. Access the RSS link for an alert by clicking more features icon for the preferred alert. See information about our Developer Program for more information on integrations.
5. Product Notifications: Log into the product on a regular basis and manually check for updates. The red “NEW” flag means that new documents have been added since you last accessed the notification.
6. Saved Searches: You can also treat your alerts as saved searches. Simply hover over the name of the alert and click the Go to notification link to search.

Editing your Alert

You can change your alert parameters at any time by clicking the three dot “more features” icon next to any alert. This will direct you to filters. Simply modify your filters and other search parameters as needed and click “Update this Alert”.

Using Compliance.ai Concepts

Access the Concepts you selected within Default Filters > Topics. Select Go to Notification to search using your preferred concept. You can customize the concept to meet your specific needs by opening the filter, and adding the jurisdictions, agencies, or document types that are relevant to you.

Example: Modifying a Compliance.ai Concept for your business needs. Create your own Consumer Privacy – Data Security: Disclosure alert focused on Rules and Proposed rules for mortgage lending.

Step 1: Click Go to notification for the Consumer Privacy: Disclosure Concept to search, then open the Filter. This will give you an understanding of the baseline concept.

Step 2: Click the “+” to add additional filters or modify the additional filters. In this case, add “Mortgage Lending” as an additional topic, then click “+” to add Document Types = Rule and Proposed Rule.

Step 3: Click Search, then Turn on Alert to create your own custom concept alert.

Compliance.ai allows you to review and comment on documents with your own personalized annotations. These annotations can be used either to highlight and denote rights, constraints, exceptions, obligations,
and other noteworthy fragments within a regulatory document or to add a label indicating a micro-topic or risk control to a document as a whole. You can review these annotations at any time and add labels to map
the annotations to your controls, annotate them using a rich text editor, and add links or attachments.

Any Pro or Team Edition user can add and review these annotations.

This product guide will show you how to:

1. Search for documents with Annotations

2. Access documents where Annotations can be seen or made.

1. Search for documents with Annotations

To find documents where the Annotations feature is available, select the “Document Properties” filter and select the “Annotations Available” filter.

2. Access documents to review and add Annotations

When a document is selected, you will see the Annotations tab in the right-hand panel, which will show any Annotations that either you or your colleagues have made on a document.

To add a label to a document, choose “Add Document Label”. This will allow you to either select from a list of existing labels specific to your organization or add a new label that can be used across your organization.

To add an annotation, simply highlight text and select “Add Annotation.” Once you have added annotations, you can navigate to a specific annotated fragment within a document by clicking on the annotation in the right panel.

These Annotations are organized sequentially based on their order within the text. Click on the three dots on the top-right corner of an annotation to add labels, access the rich text editor, and add attachments.

Note: All user-generated annotations added by members of your organization appear in the Annotations tab and are restricted to your organization.

Auto-Translation provides access to English translations of regulatory documents that do not have an official English version. Clients with access to auto-translation not only have access to a PDF of the English version, but also, if the document is sentencified, they can leverage Compliance.ai‘s annotations and obligations capabilities.

You can access auto-translated documents for Regulatory and News documents for which there is no official English translation by clicking on the “Auto-Translation” chiclet found on the original document or by accessing Related Docs.

Accessing the auto-translated document gives you a high-quality English translation that matches the original document format for improved readability.

Basic Search

The Compliance.ai search tool allows users to find documents by entering text and using predefined filters. This document provides examples of how to properly use Compliance.ai’s Search and Filters to find the most pertinent documents efficiently.

Agency, Doc Types, Keywords, and Phrases

Example 1 – Using Auto-Suggest: The user would like to see mortgage lending-related documents published by the CFPB that mention threshold..

Rather than type “CFPB mortgage lending threshold,” in the search bar, enter CFPB in the search bar. You will see an auto-suggest that allows you to select “CFPB (agency)”. Choose this option, then type mortgage lending in the search bar. You will see an auto-suggest that allows you to select “Mortgage Lending (topic)”. Choose this option, then enter “threshold” and click enter. A search for documents published by the CFPB tagged with the topic Mortgage Lending that include the word “threshold” will be surfaced. Open the filter and you will notice that CFPB has been added to the Agency filter and Mortgage Lending has been added to the Topic filter.

Note that you can use auto-suggestions for agencies, jurisdictions, topics, regulations and acts.

Example 2 – Using AND text searches: To search for documents published by the CFPB related to mortgage lending that include the term “threshold” and “higher-priced”, enter CFPB and Mortgage Lending using auto-suggest or within the filters, then enter “threshold” AND “higher-priced” in the search bar. This will surface only documents that include both the exact text threshold and higher-priced. 

Note: Make sure to use quotes around your text and capitalize your AND / OR statements for clarity.

OR

Example 3 – Using OR text searches: To search for documents published by the CFPB related to mortgage lending that include either the term “threshold” or the term “higher-priced”, enter CFPB and Mortgage Lending using auto-suggest or within the filters, then enter “threshold” OR “higher-priced” in the search bar. This will surface only documents that include either the text threshold or the text higher-priced.

Using Additional Search Filters

Open the Filter at any time to include additional parameters in your search. This will help you create a highly targeted search that will only surface the documents you need to review. Note that many filters allow you to enter multiple criteria, for example, you can add multiple agencies or jurisdictions, and search only for specific document types. 

The search below allows you to search for Rules and Proposed Rules published by the CFPB published since 2/3/2021 related to Mortgage Lending that include the terms “threshold” OR “higher-priced”.

Advanced Search

Compliance.ai’s Advanced Search feature allows you to further filter content with an exclude option. Use the toggle next to the Search bar to switch to Advanced Search at any time.

To create fine-grained queries without having to learn advanced syntax, use Advanced Search Filters. This gives you access to all possible filters as well as a full array of comparison functions (is, is not, greater than, less than, and true/false).

1. Use the search toggle to select Advanced, then click Filters.. Simply click “+” to begin adding filters.
2. Once you have added a filter, you can select the Attribute, Comparator, and Values from drop down lists. In some cases, for example Text, the value can be a free-form text. There’s no need to add quotes around multiple words. Advanced Search does this for you.
3. To add another filter to the same group, choose the “+” immediately below your existing filter. This allows you to use the same “Operator” (AND/OR) between the filters.
4. If you want to combine And and Or functions in a query, you can add a new Filter Group by selecting the “Add filter group” button. Change any AND/OR by clicking on the comparator.
   
5. You can even add a nested group using the “Add filter group” button immediately beneath any filter group. This will allow you to add a set of filters using a different comparator within your main group. This might be helpful if you are trying to include or exclude multiple text values from your search.

Using the “Convert to Advanced Search” feature is also a great way to leverage the simplicity of our Basic Filters, while also allowing you to take advantage of Advanced Search syntax. For example, if you wish to search for all enforcement documents published by the agencies you follow, but wish to exclude AWCs, add filters within the Basic Search filters, include title = AWC, then Convert to Advanced search so you can customize.

Once you have converted, you can simply change the final “AND” to “AND NOT” to exclude AWC and click enter to search.

Note: You can type into the search bar directly, but remember that you must use the correct terms for attributes (e.g., “Agency”) and comparators (e.g., “AND”)

• Any text longer than 1 word must be contained in quotations, e.g. title = “Agencies Announce Dollar Thresholds”
• You can add Boolean search terms such as “and/and not,” “or/or not,” in between any of the filter types
• All date fields follow the follow format yyyy-mm-dd
• For lists of attributes within the same filter, you can use the IN function instead of AND (see below).
• Value must be exact matches if there is a list (See Table) associated with the attribute
  • Such as = Rule vs. = rule

If you wish to type your search query directly into the search bar, you will need to input the correct sequence of attributes, comparators, and values. Please refer to the table below:

If you want to include many values for a particular attribute, it’s more efficient to use the IN function rather than multiple clauses with AND comparators:

Table: Filter Attributes

Topic Updates: Shows a count of documents within your selected Topics published over your preferred time period.

Features:

• Edit widget name, agencies, jurisdictions, documents types, and time period.
• Duplicate to see another instance of the widget.
• Click on document types to see all referenced agency publications within the standard Search view.

Approaching Deadlines: Helps you keep track of approaching Effective and Comment Close dates for the Agencies, Jurisdictions, and Document Types you have selected over your preferred time horizon.

Features:

• Edit widget name, agencies, jurisdictions, document types and time period.
• Duplicate to see another instance of the widget.
• Click on any document to view details within the standard document view.
• Select See All to view all referenced publications within the standard Search view.

Whitepapers: Stay up-to-date by reviewing recently published thought leadership.

Features:

• A snapshot of whitepapers published over the most recent 7 days to help you keep abreast of guidance from leading legal and industry sources.
• Click See All to review all whitepapers available on the platform within the standard Search view.

Hot Topic Widgets: Stay current with high-priority issues by reviewing topical widgets like the Covid-19 and California Consumer Privacy Act (CCPA) widgets.

Features:

• A snapshot of documents published over the past 7 days by either All Sources, or Sources you specifically follow related to hot topics.
• Click See All to review all documents published over the past 7 days on these topics within the standard Search view.

Recommended Searches: The list of recommended searches reflects popular searches in the product. Simply click on any of the searches to view the search results.

Create your own Widget: Follow documents related to your key alerts by creating your own widget on demand from any existing alert.

Features:

• Create your own widget by selecting any alert from your Notifications page and clicking “Create Widget”. The widget is automatically added to your Dashboard.
• View recent documents based on your alert within a widget.
• Edit to update the time period or the alert criteria. Note that the widget and alert are kept in sync, so you only need to edit in one location.
• Click on any document to view details within the standard document view.
• Click on See All to see all documents referenced within the standard search view.

Creating your own Widget

Viewing your own Widget

Regulation Widget: Stay current with documents related to the regulations or acts that impact your business.

Features:

• A snapshot of documents published over the past selected number of days by either All Sources, or Sources you specifically follow related to the regulation or act
• Select the Regulation or Act you wish to follow.
• Edit widget name, agencies, jurisdictions, document types and time period.
• Duplicate to see another instance of the widget if you want to follow multiple Regulations or Acts.
• Click on any document to view details within the standard document view.
• Click on See All to see all documents referenced within the standard search view.
• Click on the View Regulation icon to see the text of the regulation.

Task Velocity Widget: Review your organization’s, team’s or individual task velocity by month to review performance trends and determine whether you need to reallocate resources.

Features:

• A snapshot of documents published over the past x days by either All Sources, or Sources you specifically follow related to the regulation or act
• Check task velocity over the previous 6 months or weeks.
• View all tasks/assignees or filter by assignee or workflow to evaluate trends.
• Organization Admins can click through to review tasks in detail on the Manage Tasks screen.
• Duplicate to see another instance of the widget if you want to follow team members and/or workflows individually.

Customizing the Dashboard

You can drag and drop any of these widgets to rearrange the order of the widgets to your preferences.

To add or remove any of the widgets, click on the “Customize” dropdown list at the top right of the screen, and click the checkmark next to the widget’s name.

Customized Dashboard Widgets

Your Compliance.ai Dashboard includes a variety of useful Widgets catered to many aspects of the regulatory landscape.

You can duplicate and edit widgets by clicking “Edit” to create customized views of documents over selected periods of time.

The Activities at a Glance widget shows a carousel of documents that have been published over your selected period of time by the Agencies / Jurisdictions you selected in the Default Filter.

By clicking on the three dots or edit in the upper right corner of the widget, you can open the Widget menu. The menu items allow you to:

• Toggle on your Default Filter selections
• Change the Time Range of published documents the carousel will surface
• Update the Jurisdictions and Agencies that appear on the carousel
• Duplicating the Widget

Duplicating the Widget

While in the Widget menu, select the duplication icon in the upper right corner to create a clone of the carousel. Scroll down to locate the duplicate Widget; click the Widget menu to rename and customize it.

Here is one idea on how to customize the Widget: To view all documents from the State Jurisdictions of California and New York over the past 45 days, use the following filters:

Hone in on content that is critical to your business by using  Default Filters. Narrow your content funnel by selecting three types of filters: Topics, Regulatory Sources (includes Agencies and Jurisdictions), News & Premium Content, and Document Types.

Topics: Take advantage of Compliance.ai’s combination of Expert-in-the-Loop and Machine Learning assessments to concentrate your searches on documents that match key financial service industry topics. For added convenience, leverage Compliance.ai’s Concepts to search for documents related to critical facets of financial product, operational, risk and compliance.

Regulatory Sources: Follow specific agencies in the jurisdictions where you do business.

Note: Remember to Add a Jurisdiction if you do business internationally and check for Other US Sources if you don’t see specific agencies you follow in the default US Agencies list. If you can’t find a regulator or jurisdiction you follow, you can always request new sources by clicking “Request More Info” and submitting a suggestion or contacting us at support@compliance.ai. Compliance.ai is committed to providing the documents you need. We follow hundreds of sources and add dozens more every month.

News & Premium Content: Review documents published by news & premium content providers to receive broader coverage of the themes and trends you care about most. If you would like us to follow additional News & Premium Content Sources, click “Request More Info” and submit a suggestion or contact us at support@www.compliance.ai.

Document Types: Surface only the document types that are most relevant to your areas of responsibility at a high-level (e.g., follow all types of Enforcement documents) or a very granular level (e.g., follow all types of Letters & Comments except Comment and Response to reduce noise) as needed.

We’re always adding new sources, so you can also easily opt in to follow potential future document types by selecting “Follow new document types” within any document type category. If you are following all documents within a category, this is pre-selected for you, but you can choose to follow new document types within any category.

You can find detailed information on document types on Compliance.ai’s corporate website:

Document type definitions: Category (Document Type) Definitions

Determine relevance of document types by jurisdiction: Compliance.ai Document Type

The Compliance.ai Diffing feature allows you to compare the differences between two documents. Simply select any two documents with the “Diffing” icon, and click the “Diffing” document icon (top left corner of results view) to view the differences between those two documents. Green highlighted text indicates it was added, and red indicates the text was removed.

Want to view the differences between two versions of one regulation, such as a Notice, Proposed Rule, and Final Rule?

Different versions of the same regulation can be found in the “Changes” tab on the right panel. When viewing the “Changes” tab, select any two documents in the tab to view the differences.

The Enforcement Explorer helps you stay abreast of enforcement documents issued by your default agencies. We extract key information from enforcements, including respondents, details on violations, and penalties, so that you can understand what’s occurring with your peer group without having to drill into each document. The enforcement graph also gives you a handy overview of the most active agencies over the previous months.

Features:

• Review the enforcements graph to see the number of enforcement documents and penalties issued by the agencies you follow over the most recent month.
• Search within this view or simply access the page to see today’s enforcement document.
• Search by enforcement-specific data fields including: respondent, violation, and penalty amount.
• Select a document to access document meta-data and the PDF via the Details right pane.
• Access additional right pane tools for the document including: Expert Connections, Related Documents, Tasks (Team Edition only), and Annotations.

Select multiple documents to leverage cross-document tools located above the document list including: Add to Folder, Email, Print, Export via CSV, HTML or PDF, “Diffing”, and Add to Workflows.

Enforcement Explorer: View

Enforcement Explorer: View

Exporting regulatory documents in HTML, PDF, or CSV is easy with Compliance.ai. Simply select documents in the Search, Timeline, Enforcement, News, or Jurisdiction Analyzer view to share documents in your preferred format or analyze document contents or meta-data in a spreadsheet.

Exporting

Search and select documents in the Search, Timeline, Enforcement, News, or Jurisdiction Analyzer view.

Export Details:

• You can only export 600 documents per day, so narrow your search to find the documents you need before starting the process. Once you have found your documents, click the Select checkbox on the left of the toolbar, choose the “Select all (up to 600)” link, and click the download icon.

• PDF & HTML files are downloaded individually within a single zip file. If you select a large number of files, you should expect that the process will take a few minutes.
• HTML files are only available for sentencified documents. The diffing icon indicates which documents are available in HTML. You can also filter for sentencified documents by choosing Document Properties = Diffing available within basic or advanced search filters. Once you’ve selected documents, click the Export button in your toolbar to see information on how many of your selected files can be downloaded in HTML format.

• There are two options for receiving CSV files.
  • Single document CSV files: Line-by-line CSV files that include each sentence within a single row on your spreadsheet are available for documents that have been sentencified. For efficiency, multiple CSV files are packaged within a zip file for delivery.
  • Multiple documents within a CSV file: If you want to export document meta-data without sentence-by-sentence content, you will receive data about all selected documents within a single CSV file.
• Selecting data for CSV download. Once you have indicated that you wish to download a CSV file, you will receive an overlay allowing you to choose the specific attributes to include in your file. Remember that selecting Sentences will construct individual CSV files for each document.

• The CSV download will begin once you Select Export from the overlay. As a backup, we also deliver the file to you via email.

Common use cases for exporting documents

• Reporting: Get a high-level overview of all the attributes listed above, for all of the documents you have selected. Confirm a document’s workflow status, check whether or not a document has been “read,” and complete analysis such as reviewing trends in enforcement violations.
• Download fewer PDFs: Select PDF URL to generate a file with a list of direct links to the documents you are working on. Share with colleagues and review documents inside the platform.
• Analysis: Export Sentences, including obligation assessment to facilitate line-by-line document assessments.

Example

Let’s say that you’re searching for enforcement documents published between June 17, 2019 and June 16, 2020 by the CFPB, FDIC, OCC, and FRS that mention “bank.”

Your search would look like this:

Check the select check box and choose “Select all (up to 600)” to export all 232 documents in your preferred format.

Compliance.ai is designed to help you keep track of critical documents and collaborate with your colleagues. Establishing and sharing folders is a great way to manage documents you need to review together for a specific project. For complex projects, you can even add sub-folders and grant view or edit permissions to your colleagues on a sub-folder basis.

Reviewing your Folders

To access your folders, click on Folders in the left navigation. The Folders page gives you access to high-level information about all the folders you’ve created as well as folders your colleagues have shared with you. Within the Folders page, you can:

• View all existing folders
• Search for a specific folder or group of folders
• Rename, duplicate, share or delete your folders
• Create new folders

You can also drill into a specific folder so you can:

• View the contents of your folder
• Create new sub-folders
• Rename, duplicate, share or delete sub-folders
• Remove documents from your folder
• View your folder contents in a search view

View Folders

Folders provides a table view of all of your folders, plus folders shared with you, including the name of the folder, the number of documents contained in the folder, when the folder was added, when the folder was last updated, as well as the owner of the folder.

If you have access to a large number of folders, you can Filter to find the folder you need.

If you need to rename, duplicate, share, or delete folders, you can access those features within the action menu found at the end of every folder row. 

Note: If a folder has been shared with you on with View permissions only, you will not have access to these features.

Creating a Folder

You can create a folder by clicking the Add Folder button on the Folders screen, or by using the “+ New Folder” feature when adding documents to a folder.

Reviewing Folder Contents

Clicking on a folder on the main folder screen gives you access to detailed information about the folder contents, including all sub-folders contained within your folder as well as high level document information. You can create as many levels of subfolders as you need to manage your project, so simply click into subfolders to get to the next level of information.

At any point, you can access the folder contents in a search view by clicking on the breadcrumb (the name of the folder) just above the folder table.

Sharing Folders

To share a folder, click the “share” option within the action menu. You can give your colleagues View permission if they simply need to review documents within the folder or edit permission if you want them to be able to add or delete either documents or sub folders within your folder.

Once you have shared the folder, you’ll notice that the folder icon indicates that the folder is shared with others.

If you are sharing a folder that contains subfolders, your subfolders and all subfolder contents will automatically be shared with your preferred permission. You can always update subfolder permissions later to remove other users. In addition, for fine grained control, you can share specific subfolders rather than the entire folder.

If you want to add your documents to a sub-folder, simply select the main folder, then drill down to your preferred sub-folder.

Adding Documents to a Folder

To add documents to a folder, simply conduct your search, select the documents you wish to add, and choose the Add to Folder icon in the toolbar. Select the folder you want to use within the popup, then select “Add here”. If you haven’t yet created the folder you want to use, you can select the “New Folder” option. 

If you want to add your documents to a sub-folder, simply select the main folder, then drill down to your preferred sub-folder.

Removing Documents from Folders

You can remove documents from folders within the Folder page itself by clicking on the Delete icon found after every document or by selecting documents and using the “Remove from Folder” icon found within the search view of your folder.

Insights gives you a graphical view of document and enforcement trends across agencies and time periods. Check Insights to understand trends in enforcement activities, rule publication, and regulations so that you can focus your attention on the right agencies, document types, and legislation today, and reallocate your resources to address areas that you expect will require additional scrutiny in the future.

Insights Widget Details

Regulatory Activities: Synthesizes data to help you understand the volume and velocity of key document types published by agencies over multiple time periods.

Features:

• View data over your preferred time period: This Quarter (most recent 90 days), Last Quarter (prior 90 days), This Year (most recent 365 days), Last Year (prior 365 days)
• Select to view either All Agencies within the platform or just “My Agencies”, which you have selected in your Default Filters
• Hover over the graph to view document count
• Click on the graph to review all documents represented within a specific agency / document type in the standard Search view.

Final & Proposed Rules: Presents a summary of final and proposed rules published by agencies over your preferred time period to help you plan resources.

Features:

• View data over your preferred time period: This Quarter (most recent 90 days), Last
  Quarter (prior 90 days), This Year (most recent 365 days), Last Year (prior 365 days)
• Select to view either All Agencies within the platform or just “My Agencies”, which you
  have selected in your Default Filters
• Hover over the graph to view document count
• Click on the graph to review all documents represented within a specific agency / document type in the standard Search view

Enforcement Actions: Past 12 Months: Helps you focus on the most active agencies by providing a 12 month snapshot of enforcement documents published by all agencies or just the agencies you follow..

Features:

• Select to view either All Agencies within the platform or just “My Agencies”, which you have selected in your Default Filters
• Hover over the graph to view document count
• Click on the graph to review all documents represented within a specific agency / document type in the standard Search view.

Enforcement Action Violations: Review a summary of enforcements published over 18 months by type of violation and agency to gain an understanding of risk factors.

Features:

• Heat map highlighting the distribution of enforcement violations by agency.
• Select to view either All Agencies or just “My Agencies”, which you have selected in your Default Filters.

Financial Agency Trends: Dodd-Frank Act: Track final rules and enforcements related to Dodd-Frank over an extended period of time to understand the impact of this critical legislation.

Features:

• See an aggregated view of all rules and enforcements published by key agencies including: CFPB, FDIC, SEC, FRS, and OCC related to the Dodd-Frank Act.
• Hover to view document counts.
• Click on the graph to see documents included in the standard Search view.

Enforcement Action Explorer: Check enforcement actions published by agencies you follow over the past 7 days and compare against longer-term Insight widgets to get a sense of change in pace and velocity.

Features:

• Review enforcement action volume from agencies you follow over the previous 7 days.
• Hover to view document counts.
• Click on the graph to see documents included in the standard Search view.

Customizing Insights

You can drag and drop any of these widgets to rearrange the order of the widgets to your preferences.

To add or remove any of the widgets, click on the “Customize” dropdown list at the top right of the screen, and click the checkmark next to the widget’s name.

What is the Jurisdiction Analyzer?

The Jurisdiction Analyzer allows you to compare rules & regulations across jurisdictions. It may be helpful if you are expanding into new jurisdictions or lines of business. You can also set alerts to follow changes.

What are Concepts?

Concepts are high-level business topics.

What are Metrics?

Metrics are areas within a business topic that you may want to compare across jurisdictions.

What Jurisdictions can I choose from?

You may follow any jurisdiction available in Compliance.ai. Some jurisdictions may not have content for the concept and metric you select.

Using Jurisdiction Analyzer.

Step 1: Open the Jurisdiction Analyzer tab within Search Filters to begin your search. Select from the pre-defined list of Concepts and Metrics to create your search. Toggle on Default Filters to choose your standard jurisdictions or entering specific jurisdictions you wish to compare and click Search. Relevant document types are automatically selected for you.

Step 2: Review the map for a quick view of relevant documents by jurisdiction. You can click on the map to bring the country or state of interest into focus in the document area on the right of the screen.

Step 3: Scan documents to perform a jurisdiction-to-jurisdiction comparison. You can drag and drop to rearrange jurisdictions to facilitate this review.

Features:

• Select and add documents to Folders for later review and to share with colleagues.
• Send emails of up to 20 documents.
• Print up to 20 PDFs with a single click via the toolbar.
• Select and export documents in PDF, HTML, or CSV format. See Exporting Documents for details.
• Select to “diff” 2 documents. See Diffing for details.
• Select and add up to 10 documents to an existing workflow if you identify items requiring further analysis. (Available for Team Edition users only)
• Click to access the right panel view for any document. See for details.

Compliance.ai’s Label feature helps you further enrich regulatory content by adding your own organization-specific tags to any document on the platform. You can add labels by using the “Add Label” function on the Details, Annotations, or Obligations tab related to any regulatory document.

Once you or your colleagues have added labels, you can complete basic or advanced searches using the labels attribute.

Manage Labels

Admins can not only use labels to associate regulatory changes with their internal business and operational policy classifications, but also keep the labels current and relevant using the new “Manage Labels” interface. If you’re an admin, you can access Manage Labels under the Profile menu to update label names, delete, or even merge similar labels.

Try adding labels to track relationships to policies, key projects, or regulations and easily review and update using Manage Labels.

The News screen allows you to see all agency and mainstream news documents relevant to your search. News helps you tap into information related to the rules, regulations and enforcements you review every day.

Features:

• View documents by publication date.
• Search within this view or simply access the page to see today’s documents.
• Select a document to access document meta-data and the PDF via the Details right pane.
• Access additional right pane tools for the document including: Expert Connections and Tasks (Team Edition only).
• Select multiple documents to leverage cross-document tools located above the document list including: Add to Folder, Email, Print, Export via CSV, HTML or PDF, “Diffing”, and Add to Workflows.

You can access and review content categorized as obligations. These obligations are either automatically categorized as obligations by Compliance.ai (system-generated), or by users in your organization (user-generated). You can review the obligations to determine if they are relevant to your organization, add labels to map the obligations to your controls, annotate them using a rich text editor, and add links or attachments.

Team edition users can also complete related Obligation workflow tasks to determine applicability or risk of the obligations.

Users within an organization can add user-generated obligations to determine the relevance and risk of these additional obligations, and annotate them as needed.

This product guide will show you how to:

1. Search for documents with Obligations

2. Access system-generated Obligations and create your own Obligations

3. Add Obligation review to workflows (Team edition)

1. Search for documents with Obligations

To find documents that include Obligations, select “Document Properties = Obligations” within Search Filters.

2. Access system-generated Obligations and create your own obligations

When a document is selected, you will see the Obligations tab in the right-hand panel, which shows all system-generated and user-generated Obligations.

Selecting an Obligation navigates to the relevant section of the documents from which the obligation was classified.

You can also add new user-generated obligations to the document by highlighting a portion of the text and selecting the “Add Obligation” option. These obligations are organized sequentially based on where they appear in the text and are color-coded to depict which obligations are system-generated and which are user-generated. Any Obligation marked “Y,” will allow you to then have access to the rich text editor to label, add attachments, and leave comments on the selected Obligation text. Team Edition users will also see Obligation Review tasks for any workflows to which the document is assigned listed for Obligations marked “Y.”

Note: All user-generated obligations for your organization appear in the Obligations tab. User-generated obligations are restricted to your organization only.

3. Add Obligation review to workflows (Team edition)

Team edition users can create workflows that include Obligation Review steps.

If a workflow with an Obligation Review step is added to your document, you will see the specific steps (including specific drop-down options, text fields and attachments) appear beneath each Obligation marked Relevant – Y.

Compliance.ai Team and Pro edition solutions provide a secure, easy to use login experience that supports both native and 3rd party Identity and Access Management systems for user authentication. Compliance.ai supports usage of identity providers that are compatible with the following identity and access management standards: 

• OAuth 2.0
• SAML 2.0
• OpenID Connect
• Google Authentication (“Log in with Google”)
• Microsoft Active Directory Federated Service (MS ADFS)

Organization users have three options when logging into the Compliance.ai platform.

1. Compliance.ai managed credentials: Created by clicking through your invitation email and entering your preferred secure password.

2. 3rd party Identity Provider: This allows your users to access the Compliance.ai Pro/Team platform using your existing corporate credentials and multi-factor authentication. Compliance.ai supports SAML 2.0, Microsoft Active Directory Federated Service (MS ADFS), OAuth 2.0, or OpenID Connect based identity providers.

Your IT staff can complete a simple integration process with Compliance.ai to enable members of your organization to login using your Corporate Login account. 

To configure corporate login using 3rd party identity providers for your organization, please contact Compliance.ai Support.

3. Google Authentication: If you received your invitation on your Gmail account, you can select “Log in with Google”, which will redirect you to the Gmail login screen where you can enter your existing Google credentials.

Compliance.ai not only provides document enrichment such as the key document data found in the Details Right Panel, it also delivers other documents related to the document in review. 

There are four types of “Related Docs” available within the Right Panel: 

• Related Premium Content: For certain regulatory documents, premium content related to the regulatory document may also be available. These documents can help perform critical compliance functions such conducting a deeper analysis of the regulation in question. 
• Other Languages: Many documents published by agencies outside the United States are published in multiple official language versions. If your search reveals a relevant document that’s published in a language other than English, the official English language version may be available in Related Docs.
• Other Related Docs: Compliance.ai extracts related regulations such as CFRs and, where possible, provides direct links via Related Docs under the “Other Related Docs” category.
• Auto-Translation by Compliance.ai: In some cases, documents published by agencies outside the United States, Canada and the United Kingdom are only provided in their non-English official language. In this case, you can access an auto-translated version of a newly published document provided by Compliance.ai. If you cannot access the auto-translated document, contact support@compliance.ai to discuss upgrading your subscription to include auto-translation.

Related Docs: Related Premium Content

Related Docs: Other Languages

Other Related Documents

Auto-Translation by Compliance.ai

Resource Navigation: The Resources Section provides a view of less frequently updated documents that you may use for reference such as CFRs, US Code, Public Law, State Statutes, State Administrative Code. We provide the documents in a familiar, easy-to-use accordion style format to help you quickly locate the specific document you need for your research purposes.

If you wish to create a list view of all documents within a specific branch, click on the location, which you’ll find immediately above the accordion view. Clicking the location link collects all documents found within the branch and presents them in the Search view, allowing to leverage standard toolbar features, such as exporting in bulk, and establishing alerts.

All standard document functionality including Details (document meta-data), Changes, Expert Connections, Tasks, Annotations, Obligations are available for rules & regulations through the right pane.

Jurisdiction Analyzer: You will also find the Jurisdiction Analyzer within Resources, which will allow you to compare rules & regulations across jurisdictions.

Expert Connections: To help supplement your research, Compliance.ai provides you with links to experts who can provide guidance on critical industry topics and regulations. The experts can provide guidance in the form either of consultative services, or through access to their own premium content such as whitepapers, sample rules and guidance.

Tasks: Completing Tasks

Compliance.ai workflows are designed to help you and your colleagues engage in interconnected regulatory tasks in its easy-to-use, yet full-featured platform. There are two potential starting points to begin completing your tasks.

If you are logged in to the platform, you can access your tasks on the Tasks page.

If you would like to use email as the trigger to begin your tasks, use the Profiles > Account page to set up the frequency in which you’d like to receive your emails. Select individual reminder emails or a daily or weekly summary of the tasks you have to complete.

To begin completing your tasks, simply click the document link in your email to hyperlink to the document in question.

Managing Workflows

The Manage Workflow page allows you to add new workflows and rename, edit, or delete your existing workflows. Simply click the pencil icon to edit the workflow, use the trash can to delete a workflow that’s no longer needed, or click the +/- to view/hide workflow details on screen.

Tasks: Managing Tasks

Team Edition users can review their tasks in either a List or a Calendar View from the main Tasks page. You can use filters to see your own tasks only, or if you are an Organization or Team Admin, view the tasks of others in your organization or team. Hide tasks that have not yet been activated because they are dependent on upstream tasks (blocked tasks) or filter by workflow to easily find specific tasks.

Clicking on a task will automatically open the task/workflow in question in the right pane so that you can complete the task without ever leaving the page.

Organization Admins can also use Manage Tasks to auto complete, revert completed tasks to not done, or delete tasks in bulk when needed. Filter by workflow, task name, task status, created dates or due dates to quickly locate the tasks that need attention.

Compliance.ai’s Team Edition helps you oversee your organization’s access to the platform, enables you to manage roles within the system, and create teams that can participate in your workflows.

Once you have established your colleagues in the system, organization admins can determine the most appropriate role for each member of the organization, invite new members, and delete individuals who no longer need access to the platform.

Roles:

If your organization uses an identity management system, you should be aware that Compliance.ai supports SCIM 2.0 (The System for Cross-domain Identity Management) to help you manage your users’ access rights across multiple platforms from a single location. 

If your organization decides to leverage Compliance.ai’s SCIM integration, you will continue to request new user IDs through pro.compliance.ai or by making a request to Compliance.ai Support; however, you will manage and update user roles via your own identity management system and role management will be locked within pro.compliance.ai.

To learn more about leveraging Compliance.ai’s SCIM integration, visit https://www.compliance.ai/api/docs/scim/ or contact support@compliance.ai.

Compliance.ai keeps a comprehensive record of all actions taken on your tasks and workflows. Our reports are designed to help you keep track of all tasks assigned, with specific details of actions taken on each task, including task creation, assignment, and reassignment, comments added, drop down selections, attachments added and task completion. Each action is time stamped to ensure that you have a full, auditable history of all workflow activities in the system. You can export these reports during audits, for resource planning, and to report to executives.

Specific reports include:

Task Audit: Report includes a full task history of all tasks within the system over a specific time period. This report is designed to help you respond to audits and allocate resources.

Features:

• Select a specific time period or export all records by leaving from/to dates blank.
• Select specific data fields for export.
• A Certified version of the report, which includes a valid X.509 certificate. This provides proof that the document has not been altered.
• You can use the Export Template to leverage built-in pivot tables designed to highlight bottlenecks, velocity, pace and efficiency concerns related to your current workflows. This report can also justify the activities within the organization in terms of processes, rules, and policies within your organization. Simply copy your exported task report CSV file into the Excel template to review this information.

Sample: Certified Report

Sample: Task Report Template

Workflow Audit: This report provides details about one or more workflows created or edited during a specific time period. It is designed to help you monitor your workflows and track changes make in the workflows themselves over time, so that you are aware of any differences in how your team members are completing steps in their workflows for documents over time.

Features:

• Export details for one specific workflow only or across all workflows.
• See any changes made to your workflows over time.

Obligation Audit: This report is designed to help you with your legal review of documents. Get a comprehensive report of all obligation-related tasks, including adding user-generated obligations, indication of whether an obligation has been deemed relevant (Y or N), drop-down values selected, comments, labels and attachments.

Features:

• Select a specific time period or export all records by leaving from/to dates blank.
• Select specific data fields for export.
• Provides comprehensive details on all actions taken related to obligations. This includes both actions taken on the document-level obligation task and task related to specific obligatory language within the document.

Task Audit – Snapshot: If you need to check the current status of all workflows/tasks, the Task Audit – Snapshot report is your solution. Simply select a specific time period created within a specific time frame without filtering through complete task history.

• Select a specific time period or export all records by leaving from/to dates blank.
• Select specific data fields for export.
• Provides an easy-to-digest current status of all tasks created during the selected time period. There’s no need to wade through rows of changes when you only need to understand the current state of your tasks.

The Timeline allows you to see all documents relevant to your search based on either publication date or key dates including comments close and effective dates. Because it defaults to today’s date it’s a great way to be sure you’re tracking the most relevant, recent documents.

Features:

• View documents by publication date or key dates including comments close and effective dates.
• Search within this view or simply access the page to see today’s documents.
• Select a document to access document meta-data and the PDF via the Details right pane.
• Access additional right pane tools for the document including: Changes, Auto Summary, Expert Connections, Related Documents, Tasks (Team Edition only), Annotations and Obligations.
• Select multiple documents to leverage cross-document tools located above the document list including: Add to Folder, Email, Print, Export via CSV, HTML or PDF, “Diffing”, and Add to Workflows.

Review these recommended technical requirements to get the best performance out the Compliance.ai platform when using the Pro, Team, Service Connector or Developer API editions.

For an optimal experience, we recommend clients use the latest stable releases of the following browsers:

• Chrome
• Edge
• Firefox
• Safari

Compliance.ai will no longer support Microsoft Internet Explorer 11 (IE 11) as of April 1st, 2021; however, you will still be able to use IE 11 with sub-optimal results (certain features may not work, performance will not be optimal).

Memory requirements:

Minimum of 8 GB of RAM, 1 GB available to browser

The amount of RAM available to the browser on your computer also has a significant impact on performance. With less available RAM, you can expect slower page load times and possible search/report result failures.

Network requirements:

• Internet access to *.compliance.ai
• Download speed of 3 Mbps or greater
• Upload speed of .5 Mbps or greater (to attach documents)
• Network latency of 150 ms or less

Hardware/Performance requirements:

• Octane score of 30,000 or greater* (see below for details)

* Octane is a benchmark developed by Google that measures JavaScript performance. A higher Octane score correlates to faster page load times. Octane factors in your computer hardware and browser choice. Using newer-generation hardware with faster CPUs generates higher Octane scores.

You can determine your system configuration’s Octane score by running a free utility available on Github: https://chromium.github.io/octane/

How do I know Compliance.ai sources are up-to-date?

Compliance.ai updates source data constantly — we add thousands of documents every day.

For all our documents, there are links to the document’s agency website, which you can use to verify accuracy and date information at any time.

To access that information, select the document you’re interested in, by either clicking on its row, or selecting its checkbox.

On the right side of your screen, you will see its document summary panel.

Below the document title, there is a “View PDF” button. If you click the arrow to the right of that button, you will have the option to view that PDF on the agency website.

How do I know which sources I can find on Compliance.ai?

Check Default Filters > Regulatory Sources or access documentation on our public website to view a current list of agencies and jurisdictions.

I notice that document types are updated from time to time. How does this impact me?

Compliance.ai adds, deletes and splits document types to improve our clients’ ability to find the documents you need quickly and easily. When we update document types, we also automatically update your default filters and alerts to ensure that your experience is unaffected. Adding, deleting or splitting document types does not affect Compliance.ai coverage.

What happens when Compliance.ai adds new document types?

Compliance.ai adds document types when we add new sources that categorize documents in ways that are new and different. For example, if we add new regulatory documents in a jurisdiction that uses very different terminology, we will add new document type(s) to make it easy for people familiar with those jurisdictions to find the relevant regulatory content. You can automatically follow new document types by document meta-category (e.g., Agency Updates) by checking the “Follow new document types” checkbox on the Default Filters > Document Types screen. 

What happens when Compliance.ai splits document types?

Compliance.ai splits document types when we realize that clients need additional granularity to find only the specific subset of documents that meet their needs. For example, we may split a document type like “Administrative Order” into two document types, “Administrative Order” for guidance type documents versus “Enforcement Order” for enforcement type documents. When we split document types, we’ll automatically update your defaults and alerts to ensure you receive both types going forward.

What happens when Compliance.ai merges document types?

Compliance.ai merges document types when we realize that two or more document types are so similar that clients prefer to use only a single term when searching for these documents. For example, we may merge “Press Release” and “Media Release” into a single “Press Release” document type. In this case, “Media Release” will simply be removed from your defaults and alerts as it is no longer an active category.

How can I request new sources?

We’d love your input on sources you’d like to see added to Compliance.ai. You can make a source request by clicking the Request More Info link in Default Filters > Regulatory Sources and leaving a message, using chat within the platform, or emailing us at support@compliance.ai.

How can I request new features or enhancements to the Compliance.ai platform?

We’re interested in understanding your experience with our platform, including both the pro.compliance.ai website and our API. You can suggest a feature enhancement or new feature by using chat within the platform or emailing us at support@compliance.ai.

How can I share documents with my colleagues?

Compliance.ai is designed to help you collaborate with your colleagues by using features like shared folders, alerts, annotations, and workflow capabilities.

When you need to partner with a wider group, you can share documents with colleagues who do not have a license to the platform by simply sending the URL to the document you wish to share. The recipient will not have access to annotations and other collaboration capabilities, but they can access Compliance.ai’s rich metadata through Compliance.ai’s Basic User (free) platform.

How do I manage my subscription?

If you would like to add users or update your subscription, connect with our support team at support@compliance.ai.

What if my Compliance.ai data isn’t loading?

If your network access is fine, but Compliance.ai won’t load the dashboard, please send an email to support@compliance.ai to let us know of the issue. We will get back to you as soon as possible.

How do I submit a bug or enhancement request?

We love feedback, and are eager to quickly resolve any issues you might be experiencing. Send an email to support@compliance.ai. If possible, please provide details including the user ID or the individual experiencing the issue, the time you encountered the problem, and, if you encountered the problem while using pro.compliance.ai, name of the browser / browser version. We’ll review the information and incorporate required fixes into a future release.

How do I schedule a training session?

For new licensed users, our support team is always happy to schedule a time to walk you through the entire platform. These onboarding sessions are divided into two sections: the first focusing on the platform as a whole, and for our Team Edition users, the second onboarding focuses on setting up your first Workflow.

How can I reach a support representative?

Our support team can be reached at support@compliance.ai or via the chatbot at the bottom right of the platform.