System and method for regulatory intelligence evaluation, intermediary mapping and thresholding to generate insights, and accelerating conformance through continuous monitoring
Methods, systems, and apparatus, including computer programs encoded on a computer storage medium, for a system of one or more computers located in one or more locations. The system includes: obtaining input data from one or more regulatory resources; analyzing, using a first set of models, the obtained input data to determine insights related to industry regulations; further analyzing, using a second set of models, overlap between the input data and a control matrix, wherein the control matrix summarizes existing regulations; based on the overlap, determining a score to represent a degree of the overlap. Based on the degree of the overlap, the system provides summary of recommended next steps.
1. A method comprising:
obtaining input data from one or more regulatory resources;
analyzing, using a first set of models, the obtained input data to determine insights related to industry regulations, wherein a first agent analyzes the obtained input data to determine insights related to industry regulations;
analyzing, using a second set of models, overlap between the input data and a control matrix, wherein the control matrix summarizes existing regulations;
based on the overlap, determining a score to represent a degree of the overlap; and
based on the degree of the overlap, providing a summary of recommended next steps.
2. The method of claim 1 , wherein the one or more regulatory resources comprises one or more of regulatory bodies, industry reports, news articles, and guidance documents.
3. The method of claim 1 , wherein the first set of models comprises one or more large language models or natural language processing models.
4. The method of claim 1 , wherein the second set of models comprises one or more large language models or natural language processing models.
5. The method of claim 1 , wherein the control matrix comprises a two-dimensional matrix structure, wherein each row represents a predefined regulation.
6. The method of claim 5 , wherein the analyzing comprises using a two-dimensional overlap matrix, wherein the overlap matrix identifies the overlap between each regulation in the control matrix and the input data.
7. The method of claim 6 , wherein the analyzing comprises using a predefined threshold to identify a high, medium, or low degree of overlap between each regulation and the input data.
8. The method of claim 7 , wherein the summary includes one or more alerts, representative of a high, medium, or low significance alert based on the degree of the overlap.
9. The method of claim 1 , wherein a second agent analyzes the overlap between the input data and a control matrix.
10. The method of claim 9 , wherein the second agent determines a score to represent a degree of the overlap.
11. The method of claim 10 , wherein the first and second agents engage in cross-validation.
12. The method of claim 11 , wherein a coordinating agent provides a summary of recommended next steps.
13. The method of claim 12 , wherein the coordinating agent reviews results of the first and second agents.
14. The method of claim 12 , wherein the coordinating agent prepares “high effort,” “medium effort,” and “low effort” recommendations based on the degree of overlap.
15. A non-transitory computer readable storage medium storing instructions that, when executed by one or more processors, cause the one or more processors to perform operations comprising:
obtaining input data from one or more regulatory resources;
analyzing, using a first set of models, the obtained input data to determine insights related to industry regulations, wherein a first agent analyzes the obtained input data to determine insights related to industry regulations;
analyzing, using a second set of models, overlap between the input data and a control matrix, wherein the control matrix summarizes existing regulations;
based on the overlap, determining a score to represent a degree of the overlap; and
based on the degree of the overlap, providing a summary of recommended next steps.
16. A system comprising one or more processors coupled to a memory, the one or more processors and memory configured to perform operations comprising:
obtaining input data from one or more regulatory resources;
analyzing, using a first set of models, the obtained input data to determine insights related to industry regulations, wherein a first agent analyzes the obtained input data to determine insights related to industry regulations;
analyzing, using a second set of models, overlap between the input data and a control matrix, wherein the control matrix summarizes existing regulations;
based on the overlap, determining a score to represent a degree of the overlap; and
based on the degree of the overlap, providing a summary of recommended next steps.
17. A computing system comprising one or more processors coupled to a memory, the processors and the memory configured to:
obtain input data from one or more regulatory resources;
analyze, using a first set of models, the obtained input data to determine insights related to industry regulations, wherein a first agent analyzes the obtained input data to determine insights related to industry regulations;
analyze, using a second set of models, overlap between the input data and a control matrix, wherein the control matrix summarizes existing regulations;
based on the overlap, determine a score to represent a degree of the overlap; and
based on the degree of the overlap, provide a summary of recommended next steps.