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Regulatory & Compliance
This domain covers everything from watching a regulator publish a document to stating a governed position on whether you meet the obligations inside it.
In the application it spans the Regulatory Compliance navigation domain: Regulatory Sources, Regulatory Changes, Frameworks, Assets & Inventory, Scope & Applicability, Scope Registry, Requirements, Compliance Activities, Regulatory Library, Smart Extract and Requirement Assurance.
Start here
If you read only one page in this section, read The Requirement Pipeline. It explains how the twelve stages fit together and why each is separate.
Watching the outside world
| Article | What it covers |
|---|---|
| Regulatory Intelligence | How OrviQ monitors external regulatory publication and what it does with what it finds |
| Regulatory Sources | Registering and maintaining monitored sources |
| Regulatory Changes | Triaging detected changes into action |
Bringing obligations in
| Article | What it covers |
|---|---|
| Framework Library | Frameworks, clause structure, and why library content is immutable to tenant decisions |
| Smart Extract | AI-assisted extraction of requirements from regulatory documents |
| Requirements Register | The register of obligations, its fields, filters and lifecycle |
| Compliance Activities | Decomposed, ownable obligation work |
Deciding what applies
| Article | What it covers |
|---|---|
| Framework Adoption | Binding a framework to a declared scope for a stated purpose |
| Scope & Applicability | Applicable, Not Applicable, Under Review, and the approval that makes a decision authoritative |
| Statement of Applicability | Live derivation, historical reconstruction and export |
Reaching a position
| Article | What it covers |
|---|---|
| Requirement Assurance | The five dimensions, the cockpit, and governed review sign-off |
| Compliance Determination | What contributes, what does not, and why percentages are never fabricated |
Who works in this domain
| Role | Typical work |
|---|---|
| Compliance Analyst | Triaging changes, extracting requirements, drafting applicability decisions, gathering evidence |
| Compliance Manager | Approving applicability decisions, signing off requirement assurance, owning determinations |
| Business owner (Line 1) | Responding to assigned obligations, providing evidence, remediating gaps |
| Internal Auditor | Reading determinations and their explainability, testing the underlying records |
| Tenant Administrator | Configuring frameworks, taxonomies, deadlines and workflow templates |
Prerequisites
Before this domain produces meaningful output, three things need to exist:
- A declared scope. Assurance evaluated against no boundary is not assurance. See Scope Registry.
- Framework content. Either imported, extracted or manually authored.
- A workflow binding. Applicability approval consumes the organisational workflow layer. See Workflow Templates.
Related domains
- Controls & Assurance — what addresses the obligations
- Risk & Remediation — what happens when they are not met
- Enterprise Workflow — how decisions get approved
- Reporting — how the position is communicated