Forward to: Compliance

Regulatory & Standards
Monitor Workflows

Ten agent workflows for the Compliance team — professional standards tracking, regulatory change monitoring, licensing requirements, compliance risk intelligence, ethics monitoring, data privacy regulation tracking, industry body updates, audit standard changes, cross-border regulation analysis, and compliance dashboard — enabling proactive regulatory compliance.

1Regulatory Change Monitoring

AI agent monitors regulatory body domains to track new rules, proposed regulations, and enforcement actions that impact professional services firm operations and client advisory work.

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Track Regulatory Changes
/compliance/press/legalCountries
REGULATORY CHANGE INTELLIGENCE — 180 AUTHORITIES ════════════════════════════════════════════════════════ sec.gov — SEC /compliance: New AI disclosure requirements — effective Q3 2026 /press: Enforcement action against consulting firm for conflicts IMPACT: Must update AI advisory engagement letters pcaobus.org — PCAOB /compliance: Updated audit quality indicators — 8 new metrics /press: Increased inspection frequency for mid-tier firms IMPACT: Audit practice must adapt to new quality standards europa.eu — EU Commission /compliance: EU AI Act implementation guidelines published /legal: Cross-border consulting licensing requirements updated IMPACT: EU operations need AI Act compliance by August 2026 REGULATORY CHANGES (90 days): Total tracked: 24 changes across 12 jurisdictions High impact: 6 requiring immediate action

2Professional Standards Tracking

AI agent monitors professional standards bodies to track updates to consulting standards, ethics codes, and practice guidelines that govern firm operations.

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Track Standards Updates
/docs/press/complianceOpenPageRank
PROFESSIONAL STANDARDS INTELLIGENCE ════════════════════════════════════════════════════════ aicpa.org — AICPA /docs: Updated independence standards for AI advisory /compliance: New quality management standard effective July 2026 IMPACT: Must update independence policies for AI engagements ifac.org — IFAC /docs: Revised ISA on use of AI in auditing /press: Global convergence on AI auditing standards IMPACT: Audit methodology needs AI-specific procedures icaew.com — ICAEW /compliance: Ethical guidelines for AI consulting published USEFUL: Framework we can adopt for AI ethics policy STANDARDS CHANGES: Active consultations: 8 with comment periods open ACTION: Submit comments on 3 key consultations

3Licensing & Registration Monitoring

AI agent monitors licensing authority domains to track registration requirements, renewal deadlines, and new licensing rules across jurisdictions where the firm operates.

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Monitor Licensing Requirements
/compliance/about/legalCountries
LICENSING & REGISTRATION INTELLIGENCE ════════════════════════════════════════════════════════ UPCOMING RENEWALS: CPA licenses (12 states): Due Mar 31, 2026 UK FCA registration: Due Apr 15, 2026 SEC registration: Current — renewal Nov 2026 NEW REQUIREMENTS: dfs.ny.gov: New cybersecurity consultant licensing Effective: June 2026 | Status: Not yet registered ACTION: File application by April 1 deadline mof.gov.sa: Saudi Arabia consulting firm licensing New: Mandatory for all consulting services in Kingdom ACTION: Evaluate licensing requirements for Riyadh office COMPLIANCE STATUS: Jurisdictions licensed: 34 of 38 required New requirements detected: 4 need attention

4Data Privacy Regulation Tracking

AI agent monitors data privacy regulators globally to track GDPR, CCPA, and emerging privacy regulations that impact how the firm handles client data and delivers advisory services.

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Track Privacy Regulations
/compliance/legal/pressCountries
DATA PRIVACY REGULATION INTELLIGENCE ════════════════════════════════════════════════════════ edpb.europa.eu — EU Data Protection Board /compliance: New guidelines on AI training data usage /press: Enforcement action against consulting firm — $15M fine CRITICAL: Review AI model training data practices immediately oag.ca.gov — California AG /compliance: CCPA amendments for AI-generated profiles IMPACT: Client profiling using AI needs consent refresh pipc.go.kr — South Korea PIPC /compliance: New cross-border data transfer rules IMPACT: Seoul office data handling needs review PRIVACY REGULATION TRACKER: Jurisdictions monitored: 45 New regulations (90 days): 8 Firm compliance status: 6 need remediation

5Ethics & Conflicts Monitoring

AI agent monitors for ethics-related signals — conflict of interest risks, independence violations, and industry ethics enforcement — to maintain the firm's ethical standards.

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Monitor Ethics & Conflicts
/press/investors/legalOpenPageRank
ETHICS & CONFLICTS INTELLIGENCE ════════════════════════════════════════════════════════ INDUSTRY ETHICS ENFORCEMENT: sec.gov: Fined consulting firm $25M for conflict of interest Issue: Advisory work while holding client equity positions REVIEW: Audit all partner investment portfolios pcaobus.org: Sanctioned firm for independence violations Issue: Staff loans from audit client REVIEW: Verify independence policies are current CONFLICT CHECKS: New engagements screened: 124 this month Conflicts identified: 8 (all resolved) Waivers required: 3 | Approved: 2 | Pending: 1 POLICY UPDATES NEEDED: AI advisory independence: No policy exists — create urgently Crypto/digital asset conflicts: Policy outdated — update

6Cross-Border Compliance Analysis

AI agent monitors regulatory requirements across jurisdictions to ensure cross-border engagements comply with local laws, licensing, and professional standards.

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Analyze Cross-Border Requirements
/compliance/legal/aboutCountries
CROSS-BORDER COMPLIANCE INTELLIGENCE ════════════════════════════════════════════════════════ HIGH-RISK JURISDICTIONS: India — Active engagements: 12 New: Local consulting firm registration required STATUS: Not yet compliant — deadline May 2026 China — Active engagements: 4 New: Data localization requirements for consulting data STATUS: Data transfer protocols need updating UAE — Active engagements: 8 New: Economic substance regulations updated STATUS: Annual substance report due Q2 2026 CROSS-BORDER RISK SUMMARY: Countries with active engagements: 38 Compliance issues detected: 6 jurisdictions PRIORITY: India and China compliance by Q2 2026

7Industry Body & Association Updates

AI agent monitors professional industry associations and bodies to track membership requirements, certification updates, and industry governance changes.

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Track Industry Body Updates
/about/press/eventsOpenPageRank
INDUSTRY BODY INTELLIGENCE ════════════════════════════════════════════════════════ consultancy.org /press: New consulting quality certification launching /about: Mandatory for members by 2027 ACTION: Begin certification process — 12-month timeline mca.org.uk — Management Consultancies Association /press: Updated code of conduct — AI-specific provisions /about: Annual compliance attestation due June 2026 ACTION: Update policies and submit attestation aicpa.org — AICPA /events: Annual conference — regulatory updates session /press: New sustainability assurance standards published ATTEND: Regulatory updates session for compliance team

8Enforcement Action Tracking

AI agent monitors regulatory enforcement actions against professional services firms to identify compliance risks, learn from peer violations, and update internal controls.

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Track Enforcement Actions
/press/compliance/legalOpenPageRank
ENFORCEMENT ACTION INTELLIGENCE ════════════════════════════════════════════════════════ RECENT ENFORCEMENT ACTIONS (90 DAYS): sec.gov: Fined Big 4 firm $25M — conflict of interest Root cause: Partner personal investments in audit clients LESSON: Strengthen investment monitoring controls pcaobus.org: Sanctioned 3 firms — audit quality deficiencies Root cause: Insufficient documentation and review LESSON: Review internal quality review procedures fca.org.uk: Warning to consulting firm — misleading claims Root cause: Overstated capability in AI advisory LESSON: Review marketing materials for AI claims ENFORCEMENT TRENDS: AI-related enforcement: +200% YoY — growing focus Conflict of interest: Remains #1 enforcement area PREDICTION: AI advisory will face increased scrutiny in 2026

9Anti-Money Laundering & KYC Intelligence

AI agent monitors client domains and regulatory signals to support AML/KYC compliance — tracking sanctions lists, PEP changes, and client risk indicators.

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Monitor AML/KYC Signals
/compliance/press/legalCountries
AML/KYC INTELLIGENCE ════════════════════════════════════════════════════════ HIGH-RISK CLIENT SIGNALS: ofac.treasury.gov: Updated sanctions list Impact: 2 client contacts added to watchlist CRITICAL: Immediate review of 2 client engagements fatf-gafi.org: Updated grey list — 3 countries added Impact: Active engagements in 1 affected country ACTION: Enhanced due diligence for affected engagements KYC STATUS: Client KYC reviews current: 92% Overdue reviews: 18 clients — 8% of portfolio High-risk jurisdictions: 12 engagements need enhanced DD ACTION: Complete 18 overdue KYC reviews by March 31

10Regulatory Compliance Dashboard

AI agent synthesizes all regulatory intelligence into a compliance dashboard — providing leadership with real-time visibility into regulatory risks, compliance status, and required actions.

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Generate Compliance Dashboard
/compliance/press/legalCountriesIAB Categories
REGULATORY COMPLIANCE DASHBOARD — FEBRUARY 2026 ════════════════════════════════════════════════════════ COMPLIANCE STATUS: Jurisdictions: 34 of 38 compliant Licensing: 4 new requirements pending Privacy: 6 jurisdictions need remediation RISK LEVEL: ELEVATED AI regulatory scrutiny increasing Cross-border compliance gaps: India, China Enforcement trend: AI advisory under increased focus
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Generate Compliance Report

Regulatory Compliance Report — February 2026

EXECUTIVE SUMMARY ──────────────────────────────────────── Regulatory authorities monitored: 180 Active regulation changes: 24 across 12 jurisdictions High-impact changes: 6 requiring immediate action Licensing status: 34 of 38 jurisdictions compliant KEY INSIGHTS AI-related regulation is the fastest-growing compliance area. SEC AI disclosure requirements effective Q3 2026 will impact all advisory engagements. EU AI Act compliance needed by August. Cross-border compliance gaps in India and China need urgent attention. AML sanctions list changes require immediate client review. Recommend dedicated AI compliance officer and increased regulatory affairs budget.
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