What is the Uptiq Regulatory Change Management Agent?

It monitors regulatory sources continuously, ingests relevant changes, assesses institutional impact, maps effects to policies, processes, and AI agents, and tracks implementation to completion with examination-ready documentation.

What regulatory sources does the agent monitor?

Federal Register, OCC bulletins, Federal Reserve SR letters, FDIC FILs, NCUA alerts, CFPB circulars, FinCEN advisories, and relevant state banking publications, configured to the institution's charter and footprint.

How does the impact assessment work?

The institution's profile is applied to each change to determine response type, active implementation, awareness/monitoring, or legal review, producing a structured workplan for compliance officer review and approval.

How does the agent handle the mapping to AI agents?

It maintains an AI agent inventory synchronized with the Model Risk Management Agent and flags agents affected by a regulatory change alongside corresponding policy and process items.

How long does deployment take?

Most institutions are monitoring sources and ingesting changes within weeks; many begin with ingestion and impact assessment before adding structured workplan tracking.

Is the agent secure and compliant?

Yes. SOC 2 Type II compliance, encrypted data handling, role-based access, and audit logging. Documentation is formatted to the evidentiary standard that implementation records must show what was done, by whom, and with what evidence.

How is this different from manually tracking regulatory changes in a spreadsheet?

Manual tracking is only as comprehensive as the scanning process and documents awareness rather than a managed workplan. The agent ensures continuous ingestion and tracks implementation across every affected policy, process, and AI agent.

Regulatory Change Management Agent

Never Miss a Regulatory Change. Never Mismap One.

Ingest every regulatory change that matters to your institution, assess its impact precisely, map it to the policies, processes, and agents it affects, and track implementation through to completion, with examination-ready documentation at every step.

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150+

Institutions Trust Uptiq

On a real deal

Automate Regulatory Change Intake and Impact Management

Replace manual regulatory horizon scanning, reactive policy update cycles, and undocumented implementation tracking with a structured change management workflow that monitors every relevant source, assesses impact against your institution's specific profile, and drives changes to closure.

Regulatory Change Ingestion & Impact Assessment

Monitors regulatory changes, assesses business impact, and identifies compliance deadlines automatically.

Ingests regulatory changes from configured federal, agency, and state sources

Assesses institutional impact by line of business, product, and compliance deadline

Distinguishes material implementation requirements from monitoring-only changes

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Policy, Process & Agent Mapping

Maps regulatory changes to impacted policies, processes, and AI workflows for faster implementation.

Maps each regulatory change to affected policies, processes, and AI agents

Produces structured change workplans with owners and implementation timelines

Identifies cross-cutting impacts where a single change affects multiple business lines

Implementation Tracking to Completion

Tracks regulatory implementation, monitors deadlines, and maintains examiner-ready completion records.

Tracks implementation to completion with milestone monitoring and deadline escalation

Captures completion documentation for each implementation workplan item

Produces examination-ready change response documentation organized by regulatory source

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What Compliance and Legal Teams See in Practice

Complete Coverage

Regulatory Change Feed

Every regulatory change relevant to the institution's profile — including state-level updates that manual horizon scanning routinely misses — ingested, assessed, and mapped before its compliance deadline creates urgency.

Precisely Mapped

Downstream Impact

Each regulatory change connected to the specific policies, processes, and AI agents it affects — eliminating the situation where one team implements a change completely while an adjacent team, running a related process, does not know the change applies to them.

Documented

Change Response for Exams

An organized, complete implementation record for every regulatory change — available for examination review on demand without requiring a last-minute documentation reconstruction that may not fully represent what was actually done.

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