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Compliance Management Agent Topic and Actions
Public Sector Solutions includes a topic for regulatory compliance and related agent actions. Add the topic to your agent that automates key compliance management tasks to help the compliance officers focus on key decision-making and complex tasks.
Required Editions
| View supported product editions. |
The Regulatory Compliance topic includes these purpose-built actions.
| Action | Description |
| Check For Regulatory Code Violation | Evaluates the user's input to determine if it constitutes a regulatory code violation. Cross-references the input with the relevant sections or clauses in the regulatory code documents. Provides a clear and concise response indicating whether the input aligns with or violates the regulations, including specific clause references and explanations to support your determination.  Note Make sure that you configure the retriever and update the prompt template to
use it as a resource during setup. |
| Get Regulatory Code Violation Details | Analyzes the user's request to identify the relevant section or clause from the regulatory code violation documents. Extracts and provides detailed information about the identified section or clause, ensuring the response directly addresses the user's question and adheres strictly to the regulations outlined in the documents. Note Make sure that you configure the retriever and update the prompt template to
use it as a resource during setup. |
| Create Regulatory Code Violation | Creates a regulatory code violation record. |
| Create Regulatory Transaction Fee | Creates regulatory transaction fee and regulatory transaction fee item records. |
| Create Violation Enforcement Action | Creates a violation enforcement action record for a regulatory code violation. |
| Get Violation Enforcement Actions | Gets violation enforcement actions and penalties to answer a user’s question about a specific regulatory code violation. Note Make sure that you configure the retriever and update the prompt template to
use it as a resource during setup. |
| Draft Visit Summary Email | Generates a professional email summarizing the visit with details about the visit, regulatory code violations, enforcement actions, and regulatory fees along with their due dates and resolution notes. |
| Send Visit Summary Email | Sends email with the visit summary to the recipient, the responsible party. |
Customize the topic, actions, and flows available out of the box, or use them as reference to build your own components to give the agent the required capabilities to assist in your Compliance Management process.
