Regulatory Requirement Register
The structured inventory of all applicable regulations and their requirements — containing regulation identifiers, jurisdictions, effective dates, compliance obligations, control mappings, and the change tracking that monitors regulatory updates and their impact on the organization.
Why This Object Matters for AI
AI cannot automate compliance monitoring or impact analysis without a structured regulation database; without it, 'does this new rule affect us' requires manual reading of regulatory releases by subject matter experts.
Compliance & Regulatory Reporting Capacity Profile
Typical CMC levels for compliance & regulatory reporting in Financial Services organizations.
CMC Dimension Scenarios
What each CMC level looks like specifically for Regulatory Requirement Register. Baseline level is highlighted.
Regulatory requirements tracked in spreadsheets or email threads with no standardized format for obligation details, deadlines, or jurisdictional scope.
None — all requirement identification, interpretation, and deadline tracking performed manually by compliance staff reviewing Federal Register notices and regulatory bulletins.
Adopt a shared document template or simple database table that captures requirement ID, regulation citation, effective date, and responsible department in consistent fields.
Requirement register maintained in structured database table with defined fields for CFR citation, MiFID directive reference, effective date, jurisdiction, and compliance owner assignment.
None — register entries created manually by compliance analysts after reviewing regulatory releases; deadline calculations and obligation summaries written by hand.
Introduce controlled vocabularies for requirement type (reporting/capital/conduct), jurisdiction codes (US-SEC/UK-FCA/EU-ESMA), and status flags to enforce consistent categorization and enable filtered views.
Requirement register uses enumerated requirement types (capital adequacy/market conduct/AML reporting), ISO country codes, and status taxonomy (proposed/final/effective/superseded) with mandatory obligation text and citation fields.
None — compliance team manually parses Federal Register final rules and ESMA consultations to populate register fields; effective date and parent-regulation relationships entered by hand.
Deploy validation rules that enforce citation format (e.g., '17 CFR §240.15c3-1' pattern), require future-dated effective dates, prevent duplicate requirement IDs, and flag missing jurisdiction or owner assignments at save time.
Register schema validates CFR/MiFID citation syntax, enforces unique requirement IDs, requires effective-date logic (>= publication date), and blocks save when jurisdiction or responsible business line is unassigned.
Limited — system auto-populates regulation title from citation lookup table and flags past-due implementation dates, but compliance analysts still draft obligation summaries and assess applicability manually.
Integrate regulatory change feed (Federal Register API, FCA RSS, ESMA publications) that auto-generates draft register entries with pre-filled citation, jurisdiction, and publication date, routing new requirements to compliance queue for obligation analysis.
Regulatory feed integration auto-creates draft requirement records from Federal Register final rules and ESMA technical standards, pre-populating citation, jurisdiction, effective date, and regulation title; compliance reviews and approves obligation summaries before activation.
Moderate — system parses structured XML from regulatory APIs to extract key metadata and generates obligation text stubs; natural-language interpretation of complex multi-part requirements and applicability scoping still requires compliance judgment.
Deploy NLP model trained on historical regulatory text and firm's business model to extract structured obligation clauses, auto-tag requirement type (capital/liquidity/conduct/reporting), predict affected business lines, and generate compliance impact summaries for analyst review.
NLP engine ingests Federal Register notices, MiFID amendments, and MAR updates in real time, extracting obligation clauses and auto-populating requirement register with citation, jurisdiction, effective date, requirement type, affected business units, and compliance impact summary; compliance team reviews AI-generated interpretations and approves for production use, with system learning from corrections to refine future extraction accuracy.
Extensive — machine learning parses regulatory prose, identifies multi-part obligations, cross-references existing requirements for supersession relationships, and routes register entries to appropriate compliance specialists; only novel or ambiguous requirements escalated for manual interpretation.
Ceiling of the CMC framework for this dimension.
Capabilities That Depend on Regulatory Requirement Register
Other Objects in Compliance & Regulatory Reporting
Related business objects in the same function area.
Regulatory Report Definition
EntityThe specification for each required regulatory filing — containing report template, data field mappings, calculation rules, validation checks, filing frequency, submission deadlines, and the regulator contact information for questions or amendments.
Surveillance Alert
EntityThe structured record of each trade surveillance detection — containing the triggering pattern (spoofing, layering, insider trading), affected trades, implicated employees, investigation status, and the disposition outcome that determines escalation to regulators.
Employee Communications Archive
EntityThe retained repository of all business communications — emails, instant messages, voice recordings, and video transcripts with metadata, retention tags, legal hold status, and the search indices that enable surveillance and e-discovery.
Suitability Assessment
EntityThe documented evaluation of whether a product or recommendation is appropriate for a specific client — containing client risk profile, investment objectives, product characteristics, rationale for suitability, and the compliance sign-off that demonstrates best interest was served.
Regulatory Exam Case
EntityThe tracking record for each regulatory examination — containing exam scope, document requests, response status, findings, remediation commitments, and the timeline that ensures all requests are addressed before deadlines.
Privacy Consent Record
EntityThe managed record of each client's privacy preferences and consents — containing consent type, grant/revoke dates, data usage purposes consented to, and the audit trail that demonstrates compliance with GDPR, CCPA, and other privacy regulations.
Compliance Risk Assessment
DecisionThe periodic evaluation of compliance risks across business activities — assessing inherent risk, control effectiveness, residual risk, and the prioritization that determines where compliance resources should focus their monitoring and testing efforts.
What Can Your Organization Deploy?
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