Compliance & Regulatory Agent
Regulatory change tracking, policy gap-closure and product/advertising review
Compliance & Regulatory
Tracks regulatory change and assesses the firm or its clients against regulator rules.
No credit card required
Mapped out the plan
Which sources answer which clause, and in what order.
Confirmed the jurisdiction in scope
England and Wales; Irish and EU material labelled comparative only.
Screened the prompt for personal and client data
Employer name redacted before dispatch; the memo keeps its own name.
Ran the citation gates
Match-set, quote-verbatim, confidence-floor, closed-world-url. 1 finding.
You hand it
- 01Draft a factual, numbered response to a regulator
- 02Diff a new rule against the firm's policy library
- 03Assess a client's onboarding process against a rule change
You get back
A memo or register with the obligation, the evidence, the gap, and a remediation owner and severity.
- Summary
- Obligation & evidence
- Gap & severity
- Remediation owner
You can rely on it because
It runs inside the matter, reads only what is on the file, and records every step under How this was made.
From the task to the draft.
The Compliance & Regulatory Agent tracks regulatory change across the SRA, FCA, ICO and CMA with materiality scoring, impact assessment and affected-practice-area mapping, and can diff a rule change against the firm's own policy library to say which policies need work.
- 01
Configure the focus
Configure your focus: which regulators, practice areas and topics matter most.
- 02
Monitor on a schedule
Monitoring runs on a schedule and searches for recent regulatory changes and consultations.
- 03
Score materiality
Each change is scored one to five for scope, penalty risk and implementation effort, and mapped to the affected practice areas.
- 04
Review the prioritised list
Review the prioritised list with materiality scores and impact assessments.
- 05
Request an action plan
Request action plans for high-materiality changes: remediation steps, deadlines and owners.
A document with its working attached.
Senior Associate Employment Contract: English Law Review
Summary
- 1.
Clause 9(c), non-competeHigh
The 12-month prohibition on working for any law firm anywhere in the UK, Ireland or EU, in any capacity, is almost certainly wider than reasonably necessary and therefore unlikely to be enforceable.
Tillman v Egon Zehnder Ltd [2019] UKSC 32 - 2.
Clause 11, data and monitoringHigh
Blanket contractual consent is not an adequate basis for general employment processing, special-category data or unrestricted monitoring.
UK GDPR, Arts 6 and 9 - 3.
Clause 4, holiday carry-overHigh
The unconditional five-day cap conflicts with mandatory carry-over rights where sickness, statutory leave or employer failure prevents leave being taken.
Working Time Regulations 1998, regs 13 to 13A
Three tasks to start with.
The prompts the agent suggests inside the workspace. Paste your own document under any of them.
Diff the FCA Handbook against our policies
Diff the FCA Handbook against our policy library for changes since January. For each change, tell me which of our policies it touches, whether we are compliant today, and what needs to be updated.
Assess us against the SRA Code
Assess our current position against the SRA Code of Conduct. Produce a risk register: obligation, our evidence, gap, severity, and the remediation owner.
What changed in EU AI Act obligations
Summarise what has changed in our EU AI Act obligations in the last quarter, which of our systems are in scope, and the deadlines we are now working to.
Who it is for, and what it will not do yet.
Best for
- COLPs and compliance officers.
- Risk managers tracking regulatory exposure.
- Practice heads assessing operational impact.
Not yet
- Automatic remediation is not yet built: action plans are generated for a compliance officer to assign and track.
Under the hoodProtocols, gates, skills and sources, for the reader who wants them.
Protocols
- 01Planning ProtocolMaps out the plan before any work starts: which sources answer which part of the task, in what order.
- 02Privilege ReviewAssesses the output for privileged or confidential material and flags disclosure risk before it is circulated.
Skills
- SRA Compliance Rules
- EU AI Act Compliance
- Data Protection (UK GDPR & Privacy)
- Financial Services (FCA)
- Regulatory Response Drafting
- NIST AI RMF Mapping
- ISO 42001 Controls
- Policy Library Indexing
- ASA/CAP Advertising & Consumer Law (UK)
- Regulatory Diff & Gap Method
- Product Launch Review
Connectors in the catalogue
Catalogue tiles, not live integrations today. Documents are uploaded to the matter.
- Atlassian
- Asana
- OpenLaw
See it do real work.
- 01Drafting a response to the SRA or the FCAAn SRA letter asks eight numbered questions on supervision and AI use, with a firm deadline. The Regulator Response preset answers exactly what is asked, in the order asked, with a chronology and candid acknowledgement where the file has a gap.
- 02Check the board approval steps for a Delaware mergerAn English parent is acquiring a Delaware subsidiary and the London team needs to understand the approval sequence before instructing US counsel. The memo sets out the statutory steps and marks clearly that the research ran at open-web quality.
- 03Review a product against the Consumer Duty outcomesA firm has a retail savings product that has been sold unchanged for four years and an annual product review due next month. The review reads the product documents against each of the four outcomes and names what the firm cannot currently evidence.
- 04Check a financial promotion before it is approvedAn investment platform has a campaign of eleven pieces going live in a fortnight, spanning email, social posts and a landing page. The check runs each item against the promotion rules and marks the four that cannot go out as drafted.
- 05Review a client file against the money laundering rulesA firm's MLRO has pulled a sample of thirty client files ahead of an internal review. The grid reads each file for the due diligence actually evidenced, rather than for the tick on the front sheet.
- 06Screen a counterparty ownership chain for sanctions riskA counterparty in a commodities transaction sits at the bottom of a five-layer ownership structure ending in two trusts. The run reads the corporate documents supplied and identifies where ownership and control questions arise.
- 07Map Digital Services Act duties for an online marketplaceA marketplace operating across the EU has grown past the point where its original terms and processes fit its obligations. The run maps the duties that apply to it and matches each one against what the platform currently does.
- 08Check a declinature letter before it goes outA claims team has drafted a letter declining a property claim on the basis of a breach of a warranty about alarm maintenance. The review tests whether that ground works on the wording and whether the letter says what it needs to say.
- 09Refresh a whistleblowing policy for an Irish employerAn Irish employer has a whistleblowing policy written before the current statutory framework and a reporting channel that routes to a shared HR mailbox. The review checks the policy, the channel and the acknowledgement timetable against what is required.