Regulatory Investigations

Manage regulatory inquiries, subpoenas, and compliance deadlines

Back to Investigations REGULATORY MODE

Quick Actions

Key Features

Agency Tracking

Monitor SEC, DOJ, FTC, and other regulatory agency inquiries

Subpoena Management

Track document requests, response deadlines, and compliance

Deadline Tracking

Monitor filing deadlines, extension requests, and key dates

Compliance Review

AI-assisted regulatory compliance analysis and reporting

Active Inquiries

Open Subpoenas

Upcoming Deadlines

Pending Reviews

Select Regulatory Matter

Regulatory matters only

Upload Regulatory Documents

Document Type

Confidentiality Level

Drag & drop documents here

or click to browse

PDFDOCXMax 50MB

Drop files here!

Files to Upload (0)

Regulatory Documents

0 Documents

Select a matter to view documents

Evidence Authenticity Analyzer

AI-Powered

Analyze document authenticity, metadata integrity, and chain of custody for regulatory filings.

Document

Analysis Type

Regulatory Agencies

Track regulatory agency inquiries and interactions

Total Agencies

Active Inquiries

Pending Responses

Resolved

Select a matter to view agency inquiries

Agency Inquiry Dashboard

Overview of all regulatory agency inquiries, response metrics, and resolution tracking.

Avg Response Time

On-Time Rate

Open Actions

Resolution Rate

Multi-Agency Coordination Tracker

Track overlapping inquiries across multiple agencies and coordinate responses.

Agency Communication Log

All communications with regulatory agencies.

No communications logged yet

Subpoena Tracking

Manage document requests and subpoena compliance

Total Subpoenas

Pending Response

Overdue

Complied

Select a matter to view subpoenas

Subpoena Response Tracker

Track production progress, response milestones, and compliance status for each subpoena.

Select a matter with active subpoenas to view progress

Document Hold Manager

Manage litigation holds and document preservation obligations.

No document holds active

CID Analyzer

AI-Powered

AI-powered Civil Investigative Demand analysis. Extracts document categories, date ranges, key terms, and generates a response checklist.

CID Text or Summary

Issuing Agency

Response Deadline

Regulatory Deadlines

Track response deadlines, filing dates, and key milestones

Select a matter to view deadlines

Regulatory Deadline TrackerAdvanced

Overdue

Due This Week

Due This Month

Total Active

Quick-Add Regulatory Presets

Select a matter to track deadlines

Use presets above for quick-add or click "Add Deadline"

Review Queue

Documents and extractions pending review

Pending Review

Under Review

Overdue

Awaiting Supervisor

No items in review queue

Completed Reviews

Approved and finalized regulatory items

Total Completed

Approved

Rejected

This Week

No completed reviews yet

Regulatory Legal Analysis

Analyze regulatory liability, exposure, and enforcement patterns

Regulatory Liability Framework MapperAI-Powered

Agency

Violation Type

Framework Focus

Regulatory Exposure Calculator

Base Penalty Range ($)

Number of Violations

Cooperation Credit (%)

Prior Violations

Self-Reported

Enforcement Pattern AnalyzerAI-Powered

Agency

Time Period

Regulatory Document Drafting

AI-assisted drafting for regulatory responses, submissions, and compliance reports

Document Type

Tone

Key Points / Instructions

Whistleblower Management

Track SEC whistleblower tips, qui tam actions, and retaliation claims

SEC Tips

Qui Tam

SOX Retaliation

Dodd-Frank

IRS Tips

No whistleblower tips tracked

Click "Add Tip" to start tracking

Financial Forensics

Advanced financial analysis, transaction forensics, and anomaly detection

Forensics Dashboard

Transactions Analyzed

Anomalies Detected

Risk Score

Flagged Entities

Transaction AnalyzerAI-Powered

Analysis Type

Date Range

Threshold ($)

Benford\'s Law Analysis

Data Source

Related-Party Mapper

Board Reporting & KPIs

Executive dashboards, board deck generation, and regulatory KPI tracking

Active Inquiries

vs last quarter

Financial Exposure

vs last quarter

Pending Board Actions

items requiring attention

Regulatory Compliance Score

improving

Inquiry Status Overview

Smart Report DraftingAI-Powered

Report Type

Audience

Board Deck Generator

Click "Generate Board Deck" to create a presentation-ready summary

Regulatory Complaints

Track and manage regulatory complaints, notices, and citations

Open Complaints

Under Investigation

Pending Response

Resolved

No regulatory complaints tracked

Click "Add Complaint" to start tracking

Cross-Matter Pattern Analysis

Identify patterns, trends, and correlations across regulatory matters

Patterns Detected

Matters Analyzed

Risk Correlations

Click "Analyze Patterns" to detect cross-matter trends

Regulatory Activity Heatmap

Load patterns to view heatmap

Compliance Review

AI-assisted regulatory compliance analysis, gap detection, and remediation tracking

Compliance Score

Open Gaps

Remediation Items

Pending Reviews

Compliance Gap AnalyzerAI-Powered

Regulatory Framework

Area Focus

Regulatory Risk Scorer

Agency

Violation Type

Prior Violations

Cooperation Level

Compliance Report GeneratorAI-Powered

Report Type

Include Sections

Overview Findings Recommendations Appendix

Remediation Tracker

No remediation items tracked

Run a gap analysis or add items manually

Regulatory Investigations

Quick Actions

Key Features

Select Regulatory Matter

Upload Regulatory Documents

Files to Upload (0)

Regulatory Documents

Evidence Authenticity Analyzer

Regulatory Agencies

Agency Inquiry Dashboard

Multi-Agency Coordination Tracker

Agency Communication Log

Subpoena Tracking

Subpoena Response Tracker

Document Hold Manager

CID Analyzer

Regulatory Deadlines

Quick-Add Regulatory Presets

Review Queue

Completed Reviews

Regulatory Legal Analysis

Regulatory Document Drafting

Whistleblower Management

Financial Forensics

Transactions Analyzed

Anomalies Detected

Risk Score

Flagged Entities

Board Reporting & KPIs

Regulatory Complaints

Cross-Matter Pattern Analysis

Regulatory Activity Heatmap

Compliance Review

Add Regulatory Agency

Add Subpoena

Add Deadline

Create Evidence Package

Add Whistleblower Tip

Add Regulatory Complaint

Add Regulatory Deadline

Add Communication Entry

Add Document Hold

Add Remediation Item

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