Legal Research & Compliance

Regulatory Compliance Research

Research regulatory requirements across multiple agencies and jurisdictions, mapping them to specific business activities. Reduces compliance research by 60-75%.

Time Saved

60-75% reduction in compliance research

Accuracy

Comprehensive regulatory coverage

The Problem

✗Multiple overlapping regulatory frameworks
✗Constant regulatory changes
✗Difficulty determining applicability
✗Resource constraints for monitoring
✗Risk of missing requirements

How Claude Helps

Identifies applicable regulations, analyzes requirements and obligations, maps regulations to business processes, identifies compliance gaps, and tracks regulatory changes.

Step-by-Step Workflow

Define business activities

And jurisdictions

Identify regulatory frameworks

Potentially applicable

Research specific requirements

For each framework

Map requirements to operations

Business process alignment

Identify gaps and remediation needs

Where compliance falls short

Establish monitoring process

Ongoing compliance tracking

Example Prompt

Research regulatory requirements for a fintech company offering consumer lending in California.

BUSINESS ACTIVITIES:
- Consumer loan origination (up to $50,000)
- Online application and approval
- Third-party loan servicing
- Data collection and credit reporting

REGULATORY ANALYSIS NEEDED:
1. FEDERAL REQUIREMENTS
   - TILA/Regulation Z
   - ECOA/Regulation B
   - FCRA requirements
   - CFPB enforcement considerations

2. CALIFORNIA REQUIREMENTS
   - CFL licensing
   - State disclosure requirements
   - Rate and fee limitations
   - State privacy requirements (CCPA)

3. OPERATIONAL IMPLICATIONS
   - Required disclosures and timing
   - Documentation and retention
   - Fair lending compliance
   - Consumer complaint handling

4. COMPLIANCE PROGRAM RECOMMENDATIONS
   - Key policies needed
   - Monitoring requirements
   - Training considerations

Format as a regulatory compliance assessment memo.