RegPRISM helps financial institutions move beyond regulatory monitoring to manage the complete regulatory change and compliance lifecycle. Explore how the platform supports regulatory intelligence, horizon scanning, applicability and obligation management, impact assessment, policies and controls, evidence management, compliance assurance and enterprise workflows.
egPRISM is an AI-powered regulatory intelligence and compliance management platform designed to help financial institutions identify, interpret and manage regulatory change. It connects regulatory developments with applicable obligations, business functions, policies, procedures, controls, accountable owners, supporting evidence and assurance activities.
By bringing regulatory intelligence and downstream compliance execution together, RegPRISM provides organizations with a structured and traceable approach to managing regulatory change and demonstrating ongoing compliance.
Traditional horizon scanning solutions primarily help organizations identify regulatory developments. RegPRISM extends beyond monitoring by connecting regulatory intelligence with the actions required to respond to regulatory change.
The platform supports applicability assessment, obligation identification, gap analysis, ownership, policy and procedure updates, evidence management, configurable workflows, compliance testing and management reporting. This creates a connected compliance operating model from regulatory source through to implementation and assurance.
Spectra is the AI regulatory intelligence engine behind RegPRISM. It helps analyse regulatory content, identify relevant developments, classify information, generate contextual summaries and support the identification and interpretation of regulatory obligations.
The intelligence generated by Spectra feeds downstream RegPRISM capabilities such as applicability assessment, obligation mapping, regulatory impact analysis, compliance workflows, policy alignment and regulatory evidence management.
RegPRISM is designed to support stakeholders across the compliance operating model, including regulatory change teams, compliance officers, policy and procedure owners, business functions, control owners, compliance assurance teams and management.
Different stakeholders can use the platform to access regulatory intelligence, understand applicable obligations, manage assigned actions, maintain evidence, conduct compliance assessments and monitor overall compliance status.
RegPRISM creates traceability between regulatory requirements and the organization’s response to those requirements. Regulations and obligations can be connected with responsible owners, policies, procedures, controls, workflows, evidence, testing outcomes and remediation activities.
This enables institutions to demonstrate not only that regulatory change was identified, but also how it was assessed, implemented, evidenced and monitored over time.
RegPRISM continuously monitors regulatory sources to identify relevant regulatory developments across jurisdictions and regulatory themes. Regulatory updates can be classified, summarized and routed to relevant users based on the organization’s regulatory profile and areas of responsibility.
Automated alerts, notifications and dashboards help compliance teams identify important developments earlier and initiate the appropriate assessment and response processes.
RegPRISM is designed to monitor and organize regulatory information such as laws, regulations, circulars, regulatory guidance, consultations, supervisory publications, policy updates and other relevant regulatory material.
Organizations can also maintain internally available or directly received regulatory documents within the platform, creating a broader regulatory knowledge base for compliance teams.
The Regulatory Library provides a centralized repository for regulatory documents and associated regulatory intelligence. Documents can be organized using attributes such as regulator, jurisdiction, sector, regulatory theme, publication date and document type.
The library enables users to search historical and current regulatory information, access AI-generated summaries and classifications and connect regulatory documents with applicable obligations and downstream compliance activities.
Yes. RegPRISM incorporates AI-enabled translation capabilities to help users understand regulatory documents published in different languages.
This is particularly useful for institutions operating across multiple jurisdictions where regulatory publications may be issued in different local languages. Translated content can be used alongside regulatory classification and summarization to support faster regulatory review.
RegPRISM uses AI-assisted document analysis and summarization to extract important information from regulatory publications and present users with more concise regulatory intelligence.
This enables compliance teams to focus their review on relevant regulatory changes, key requirements and potential areas of impact while retaining access to the underlying regulatory source for detailed analysis.
RegPRISM supports configurable alerts, notifications, ownership and dashboards so that relevant regulatory developments can be routed to appropriate stakeholders.
Organizations can use regulatory classifications, applicability parameters and ownership structures to reduce unnecessary regulatory noise and ensure that the right information reaches the right teams for assessment and action.
RegPRISM uses an applicability and obligation mapping framework based on regulatory classification and the organization’s business context.
Regulatory requirements can be assessed against dimensions such as business functions, products and services, legal entities, jurisdictions, risk domains and other institution-specific criteria. This helps organizations focus their compliance resources on requirements that are relevant to their activities.
The Advanced Applicability & Obligation Mapping Engine helps institutions determine which regulatory requirements apply across different parts of the organization and establish ownership for those requirements.
Applicable obligations can be mapped to business functions, products, legal entities, jurisdictions, risk domains, controls, policies, procedures and accountable owners, creating structured traceability throughout the compliance lifecycle.
RegPRISM uses AI-assisted analysis to identify and extract actionable obligations from regulatory documents. These obligations can then be classified, reviewed, enriched and mapped to relevant areas of the organization.
This reduces the effort involved in manually reviewing lengthy regulatory documents while helping compliance teams create a structured inventory of regulatory requirements requiring assessment, ownership or action.
Yes. A regulatory obligation may affect multiple functions, products, entities, jurisdictions, controls or policies.
RegPRISM’s mapping framework enables institutions to establish these relationships so that regulatory requirements are not viewed in isolation. This provides compliance teams with a more complete understanding of organizational impact and helps establish appropriate ownership and accountability.
RegPRISM’s Regulatory Gap Analysis capability helps institutions understand how regulatory requirements have changed and how those changes compare with their existing internal compliance framework.
The platform can help distinguish newly introduced requirements, modified obligations, unchanged requirements, superseded requirements and other material differences that may require assessment or remediation.
Yes. RegPRISM can analyse applicable regulatory requirements against internal governance documents such as policies and procedures to help identify potential gaps or areas requiring review.
This supports a more structured assessment of whether internal documentation continues to reflect current regulatory expectations and helps institutions prioritise policy, procedure or control changes arising from regulatory developments.
RegPRISM enables regulatory change to be evaluated across relevant organizational dimensions such as business functions, products, legal entities, jurisdictions, risk areas and accountable stakeholders.
By connecting regulatory change with affected areas of the organization, the platform helps compliance teams identify the scope and significance of a regulatory development, determine required actions and prioritise implementation activities.
The Centralized Regulatory Evidence & Document Register provides a single repository for maintaining compliance-related documents and supporting evidence.
Institutions can use it to maintain policies, procedures, control documentation, testing outcomes, assessments, attestations and other supporting artefacts while establishing relationships between those items and the regulatory obligations they are intended to address.
Compliance is increasingly dependent on an institution’s ability to demonstrate how regulatory requirements have been implemented and how controls operate in practice.
By linking evidence with specific obligations, policies, procedures and controls, RegPRISM helps institutions establish a structured record of compliance activities and reduces the effort required to assemble supporting information during internal reviews, assurance exercises or regulatory examinations.
RegPRISM uses AI-assisted validation to assess submitted evidence in the context of the relevant regulatory obligation and associated compliance requirements.
Evidence can be evaluated for factors such as relevance, completeness, adequacy and its ability to support the expected compliance outcome. The platform can provide contextual recommendations before evidence is approved or certified, helping institutions improve consistency in evidence assessment.
Yes. RegPRISM is designed to establish traceability across regulatory obligations and the governance artefacts used to address them.
An obligation can therefore be associated with relevant policies, procedures, controls, evidence, assessments and testing outcomes, providing stakeholders with a consolidated view of how the regulatory requirement is being managed.
RegPRISM includes a dedicated compliance assurance and testing capability that enables institutions to assess the effectiveness of regulatory obligations, controls, policies, procedures and other compliance requirements.
The framework supports structured monitoring and testing programmes, control-effectiveness assessments, testing cycles, reassessment triggers, issue management, remediation tracking and management reporting.
Testing and assurance activities can identify control weaknesses, compliance gaps or other findings requiring remediation.
RegPRISM enables these findings to be captured, assigned, tracked and monitored through structured workflows. This helps organizations connect assurance outcomes with remediation activities and maintain visibility over outstanding compliance risks.
The Compliance Co-Pilot provides business users with contextual regulatory and compliance guidance using the organization’s available regulatory and compliance knowledge.
The assistant can draw on regulations, policies, procedures, FAQs, guidance documents, regulatory interpretations and other organizational compliance content to help users obtain relevant information within their day-to-day activities.
Front-line employees frequently require compliance guidance while making business or operational decisions. Without accessible information, routine questions may need to be escalated to compliance teams.
RegPRISM enables users to access relevant regulatory and internal compliance information more directly, helping reduce dependency on manual compliance enquiries while promoting greater consistency in how regulatory requirements are understood across the organization.
Yes. RegPRISM includes AI-assisted policy and procedure drafting capabilities that can use applicable regulatory requirements, existing governance frameworks, internal standards and organizational templates as inputs.
The platform can support the preparation of draft policies, procedures, control narratives and related governance documentation, helping institutions respond more efficiently when regulatory changes require internal documentation to be introduced or updated.
RegPRISM connects regulatory developments, identified obligations and internal governance documentation within the same compliance framework.
When regulatory requirements change, compliance teams can assess affected policies and procedures, identify potential gaps and initiate the appropriate review or drafting process. This helps create stronger traceability between external regulatory expectations and internal governance documentation.
The Form Builder enables institutions to create configurable forms for different regulatory and compliance processes without requiring extensive product customization.
Forms can support activities such as assessments, attestations, reviews, evidence submissions, governance checkpoints and other structured compliance processes, allowing institutions to reflect their own operating model within RegPRISM.
RegPRISM supports configurable workflows for regulatory assessments, obligation ownership, approvals, attestations, remediation, evidence submission and other compliance activities.
Workflows can incorporate multi-level approvals, maker-checker controls, governance checkpoints and different approval structures based on entity, jurisdiction or institutional requirements.
Regulatory requirements and resulting actions can be assigned to designated owners or teams within the organization.
RegPRISM provides visibility over ownership, status, deadlines, approvals and outstanding activities through workflow and dashboard capabilities. This enables management and compliance teams to monitor progress and identify actions that require escalation.
RegPRISM’s workflow and governance capabilities are designed to support traceability across compliance activities, including assignments, reviews, approvals and regulatory actions.
This creates a more structured record of how regulatory requirements were assessed and managed and supports stronger governance, internal oversight and audit readiness.
RegPRISM dashboards can provide visibility into regulatory developments, obligations, ownership, workflow status, outstanding actions, compliance assessments, evidence, testing outcomes, issues and other compliance indicators.
Views can be configured to help different stakeholders monitor the information most relevant to their responsibilities and provide management with consolidated oversight of the regulatory compliance environment.
Yes. RegPRISM supports API-based integration and hand-offs to existing GRC, risk management and compliance platforms.
Organizations can therefore use RegPRISM as part of a broader compliance technology ecosystem rather than necessarily replacing every existing system. Regulatory intelligence, obligations and related compliance information can be transferred into downstream systems where required.
RegPRISM brings together regulatory monitoring, regulatory intelligence, applicability assessment, obligation identification, regulatory gap analysis, impact assessment, ownership, policy and procedure management, evidence, workflows and compliance assurance.
Instead of managing these activities through disconnected processes, organizations can maintain traceability from the original regulatory requirement through assessment, implementation and ongoing monitoring.
Yes. RegPRISM’s regulatory monitoring, classification and applicability capabilities are designed to support organizations operating across different jurisdictions and regulatory environments.
Institutions can organise regulatory information by jurisdiction and apply entity-, product-, function- and risk-specific criteria to determine which requirements are relevant to different parts of the organization.
RegPRISM uses AI and workflow automation to reduce manual activity across several stages of regulatory change management, including monitoring, document review, classification, obligation identification, impact assessment, evidence validation and policy drafting.
It also provides structured ownership, workflows and dashboards that reduce reliance on spreadsheets, email-based coordination and disconnected compliance processes.
RegPRISM is designed to augment compliance teams by automating repetitive analysis and administration and by providing structured regulatory intelligence and workflow support.
Compliance professionals continue to provide institutional judgement, interpretation, governance and oversight, while RegPRISM helps them access relevant information more quickly, coordinate actions more effectively and maintain stronger traceability across the compliance lifecycle.
RegPRISM is designed to help institutions improve regulatory responsiveness, strengthen governance and accountability, reduce manual compliance effort and maintain better visibility over regulatory obligations and actions.
By connecting regulatory intelligence with policies, controls, evidence, workflows and assurance, the platform helps institutions move from reactive regulatory tracking toward a more proactive and defensible compliance operating model.