AI Agents Dashboard
10 intelligent agents automating regulatory operations
Total Processed
14,001
Pending Items
145
Active Alerts
25
Automation Rate
94%
Regulatory Change Monitor
Tracks regulatory updates from SEC, FCA, ESMA, MAS and extracts impact analysis
Filing & Submission
Automates preparation of regulatory filings and manages submission workflows
Transaction Reporting
Handles EMIR, MiFIR, SFTR, Dodd-Frank trade reporting and reconciliation
Compliance Calendar
Manages regulatory deadlines, license renewals, and reporting periods
AML/KYC Agent
Customer due diligence, sanctions screening, PEP checks, transaction monitoring
Regulatory Exam Prep
Prepares for regulatory examinations, compiles documentation, tracks findings
License & Registration
Tracks firm and individual registrations and licenses across jurisdictions
Breach & Incident
Tracks regulatory breaches, manages remediation, handles incident reporting
Policy Governance
Manages compliance policies, tracks attestations, handles version control
Regulatory Correspondence
Manages communications with regulators, tracks inquiries and responses
Live Activity
Real-time agent actions
Completed PEP screening for 12 new clients
Detected new SEC Rule 10c-1a amendment
Submitted 234 EMIR reports to DTCC
Generated draft Form ADV Part 2A
Reminder: SFTR report due in 5 days
Closed incident #BR-2024-003 after remediation