| name | rgc - Regulatory Compliance |
| description | Assess compliance with applicable regulations by mapping requirements to current practices, identifying gaps, and prioritizing remediation. |
| output | {"format":"prose"} |
Regulatory Compliance
Input: $ARGUMENTS
Step 1: Identify Applicable Regulations
Determine which regulations apply to this situation, organization, or activity.
ENTITY/ACTIVITY: [what is being assessed]
INDUSTRY: [sector]
JURISDICTION(S): [where it operates]
APPLICABLE REGULATIONS:
1. [regulation name] — Authority: [governing body]
Scope: [what it covers]
Key requirements: [summary]
2. [regulation name] — Authority: [governing body]
Scope: [what it covers]
Key requirements: [summary]
UPCOMING REGULATIONS (not yet effective):
- [regulation] — Effective: [date] — Impact: [summary]
VOLUNTARY STANDARDS THAT APPLY:
- [standard — e.g., ISO, SOC, industry codes]
Step 2: Map Current Practices to Requirements
For each regulation, compare what is required to what is actually happening.
COMPLIANCE MAP:
Regulation: [name]
| Requirement | Current Practice | Status |
|------------|-----------------|--------|
| [requirement 1] | [what is actually done] | Compliant / Gap / Partial / Unknown |
| [requirement 2] | [what is actually done] | Compliant / Gap / Partial / Unknown |
| [requirement 3] | [what is actually done] | Compliant / Gap / Partial / Unknown |
DOCUMENTATION STATUS:
- [ ] Policies exist and are current
- [ ] Procedures are documented
- [ ] Training records are maintained
- [ ] Audit trail exists
Step 3: Identify Gaps
List every gap between requirements and current practice.
GAPS IDENTIFIED:
1. GAP: [description]
Regulation: [which one]
Requirement: [specific requirement not met]
Current state: [what exists now]
Severity: [Critical / Major / Minor]
2. GAP: [description]
Regulation: [which one]
Requirement: [specific requirement not met]
Current state: [what exists now]
Severity: [Critical / Major / Minor]
UNKNOWN AREAS (cannot assess without more information):
- [area] — Information needed: [what]
Step 4: Assess Risk of Non-Compliance
For each gap, evaluate the consequences.
RISK ASSESSMENT:
| Gap | Likelihood of Detection | Penalty/Consequence | Reputational Impact | Overall Risk |
|-----|------------------------|--------------------|--------------------|-------------|
| [gap 1] | Low/Med/High | [fine amount, license risk, etc.] | Low/Med/High | Low/Med/High/Critical |
| [gap 2] | Low/Med/High | [fine amount, license risk, etc.] | Low/Med/High | Low/Med/High/Critical |
WORST-CASE SCENARIO: [what happens if all gaps are discovered simultaneously]
RECENT ENFORCEMENT TRENDS: [is the regulator actively enforcing? recent actions?]
Step 5: Prioritize Remediation
Rank gaps by urgency and create a remediation sequence.
REMEDIATION PRIORITY:
IMMEDIATE (fix now — critical risk or active violation):
1. [gap] — Fix: [action] — Owner: [who] — By: [date]
Cost/effort: [estimate]
SHORT-TERM (fix within 30-90 days):
1. [gap] — Fix: [action] — Owner: [who] — By: [date]
Cost/effort: [estimate]
MEDIUM-TERM (fix within 6 months):
1. [gap] — Fix: [action] — Owner: [who] — By: [date]
Cost/effort: [estimate]
DEPENDENCIES: [any fixes that must happen in sequence]
Step 6: Create Compliance Checklist
Build an ongoing compliance monitoring tool.
COMPLIANCE CHECKLIST:
DAILY:
- [ ] [check/action]
WEEKLY:
- [ ] [check/action]
MONTHLY:
- [ ] [check/action]
QUARTERLY:
- [ ] [check/action]
ANNUALLY:
- [ ] [check/action — e.g., policy review, training renewal, audit]
TRIGGER-BASED (when events occur):
- [ ] When [event]: [required action]
RESPONSIBLE PARTY: [who owns ongoing compliance]
ESCALATION PATH: [who to notify when issues arise]
Integration
Use with:
/leg -> Apply legal reasoning to complex regulatory questions/rtas -> Assess rights affected by regulatory requirements/dshb -> Design a compliance monitoring dashboard
