Regulatory Exam Prep

Data on This Page

Three upcoming exams (regulator, type, scheduled date, status, readiness %, last exam date, focus areas), a six-category document checklist with completed/total counts, and four previous exam findings with severity and remediation status.

What This Agent Does

Tracks upcoming regulator exams and thematic reviews per jurisdiction, computes a document-readiness score by category, chases incomplete document collection, and keeps prior findings linked until fully remediated so nothing recurs at the next exam.

Worked Examples

• The SEC Routine Examination (scheduled May 15, 2025) is at 72% readiness — the agent prioritizes closing gaps in Client Files (85/89) and Training Records (38/45) before that date.
• The FCA Thematic Review (Jun 1, 2025) sits at only 45% readiness, the lowest of the three — the agent flags it as the highest-risk upcoming exam needing acceleration.
• The FCA 2024 finding “Consumer Duty - product review process gaps” is still in_progress — the agent keeps it linked to the upcoming FCA Thematic Review so examiners see remediation underway rather than a repeat finding.