Regulatory change, diffed against your policies
The Compliance & Regulatory Agent monitors change at the SRA, FCA, ICO, CMA, and Ofcom, diffs it against your policy library, and tracks every gap to closure. It also reviews marketing claims against ASA and CAP rules and assesses product launches before they go out.
The gap between the new rule and your old policy.
When the SRA, FCA, or ICO changes a rule, the real work is finding which of your policies now falls short and closing the gap before it bites. Most firms read the update, mean to act, and lose the thread.
What goes wrong
- A policy left out of step with a changed rule until an incident exposes it
- A marketing claim that breaches the CAP code, drawing an ASA ruling
- No evidence of monitoring or gap-closure when the SRA runs a desk-based review
From your question to a governed answer
Not a black box. Every step is visible, checkable, and governed. Here's exactly what happens when you use the Compliance & Regulatory.
Set what you monitor
Choose the regulators, practice areas, and client sectors, and connect your policy library so changes can be diffed against it.
It scans the regulators
New rules, guidance, consultations, and enforcement decisions across the SRA, FCA, ICO, CMA, and Ofcom are picked up as published.
Each change is diffed against your policies
The agent finds which policies the change affects and names the specific gap, rather than just forwarding the update.
Every reference is verified
The Legal Citation Verifier checks each reference against legislation.gov.uk, EUR-Lex, the SRA's current Standards, or the regulator's record. No invented requirements.
Gaps are tracked to closure
Each gap gets an owner and a deadline, and stays open on the tracker until it's closed.
Briefings and claim reviews go out
Briefing notes for the right people, plus ASA/CAP reviews of marketing claims and pre-launch assessments of products, each with the rule cited.
Every output governed by:
Input
Verify
Comply
Prove
Governed
Everything the Compliance & Regulatory can do
Every capability runs on our own legal database and through the same governance — checked, compliant, and logged.
- Live monitoring across the SRA, FCA, ICO, CMA, and Ofcom
- Each change diffed against your policy library, with the specific gaps named
- Gaps tracked to closure, with owners and deadlines
- Marketing claims reviewed against the ASA and CAP codes
- Product launches assessed against the applicable rules before release
- Briefing notes written for partners, COLPs, and clients
Who the Compliance & Regulatory is for
- COLPs and compliance officers who own the firm's regulatory obligations
- Regulatory teams tracking the SRA, FCA, and ICO at once
- Client partners advising on marketing claims and product launches
Governance guarantee
A full record of what was monitored, when alerts went out, who was told, and how each gap was closed. The Regulatory Compliance Check evaluates change against the SRA Code, FCA rules, and ICO guidance, and every reference is verified against the source — systematic oversight, not ad-hoc Googling.
In practice
Real scenarios, real outcomes
How different roles in your firm would use the Compliance & Regulatory — with specific scenarios and governed outcomes.
Scenario
The SRA updates its guidance on AI in legal practice.
Governed outcome
A briefing within hours, a diff of the firm's current AI policy against the new guidance, and named gaps tracked to closure.
Scenario
A financial services client is caught by overlapping FCA, PRA, and ICO changes.
Governed outcome
A client-ready briefing across all three, one implementation timeline, every reference checked.
Scenario
A new campaign makes performance claims that must clear the CAP code.
Governed outcome
A claim-by-claim ASA/CAP review flagging the two claims that need substantiation before launch.
What makes this different
Built for legal work, not relabelled for it
It diffs, it doesn't just feed
Each change is compared to your actual policy library and the specific gap named.
Gaps tracked to closure
A gap stays open with an owner and a deadline until it's closed, with the trail to prove it.
Claims and launches covered too
ASA/CAP marketing review and pre-launch assessment, not just rule monitoring.
The evidence is ready before you need it
Monitoring and closure produce the record the SRA expects, in advance of any inspection.
Built on our own legal database
The Compliance & Regulatory checks every output against BAILII, legislation.gov.uk, EUR-Lex, and our own legal database — a curated, constantly updated source we built in-house for faster checking. It's our own work, and it lets us cross-reference across jurisdictions in ways the public sources can't on their own.
Built-in governance
How Verify, Comply, Prove works for the Compliance & Regulatory
Every agent on LegalAI Space runs through the same three steps. Here's exactly what that means for compliance & regulatory outputs.
Every reference checked against the source
The agent doesn't summarise what it thinks a rule says. The Legal Citation Verifier checks against the published text.
- SRA Standards and Regulations checked against the current published version
- Legislation checked on legislation.gov.uk, including commencement and extent
- EU measures checked on EUR-Lex with transposition status
- Enforcement decisions and consultations linked to the publishing body's record
Your policies checked for gaps
The Regulatory Compliance Check evaluates each change against the SRA Code, FCA rules, and ICO guidance, rule by rule with a severity. It diffs the change against your policy library and names what falls short.
- Policy diff: which policies a change affects, and the specific gap
- Marketing claims checked against the ASA and CAP codes
- Product-launch assessments against the applicable rules
- SRA rule 2.1 alignment: does the monitoring demonstrate effective governance?
A monitoring and closure record ready for the SRA
When the SRA asks how the firm tracks change and closes gaps, you have a complete, timestamped record. It includes not just what changed, but what you did about it.
- What was monitored, how often, and what was picked up
- The policy diff for each change, and the gap it identified
- Gap-closure tracking: owner, deadline, and status to resolution
- Summary reports ready for SRA desk-based reviews
Further Reading
Further reading for the Compliance & Regulatory
Guides on the work the Compliance & Regulatory does — and the governance behind it.
Try the Compliance & Regulatory on a real matter
Get early access and run the Compliance & Regulatory on your firm's work — or book a pilot call to scope what you need.
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LegalAI Space is a technology platform. We are not a law firm and do not provide legal advice. AI agents assist with legal work but do not replace qualified legal counsel or professional judgement.
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Agent capabilities described on this page represent planned or in-development functionality. Final capabilities may vary.
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References to regulatory frameworks (SRA Standards and Regulations, EU AI Act) are for informational purposes. Compliance checking is automated and rule-based — it does not constitute a legal opinion.