Governance Compliance Analyzer
Audit corporate governance for compliance gaps and regulatory risk
What You Can Do
Analyze your corporate governance documents—bylaws, policies, board minutes, and regulatory filings—to identify compliance gaps and regulatory risks in minutes. Claude evaluates your controls against applicable frameworks (Sarbanes-Oxley, COSO, industry-specific regulations), scores breach probability, and generates customized corrective resolutions and policy updates ready for board approval.
Features
Identify missing controls, outdated policies, and procedural gaps against regulatory requirements and governance best practices
Quantify breach probability and business impact for each gap, prioritized by severity and remediability
Generate board-ready resolutions addressing identified gaps with specific remediation steps, timelines, and ownership
Create or update governance policies (code of conduct, whistleblower, conflict-of-interest) tailored to your regulatory profile
Assess the design and operating effectiveness of existing controls and governance structures
Compare compliance requirements across multiple jurisdictions and identify divergences in your policies
Analyze meeting agendas, minutes, and disclosures for governance compliance and suggest improvements
Example Output
Compliance Gap Report Example:
Gap #1 (HIGH RISK): Missing written insider trading policy
- Regulatory exposure: Securities Exchange Act, Regulation FD
- Control gap: No documented procedures for trading windows, pre-clearance requirements
- Remediation: Draft policy (2 weeks), board approval (4 weeks)
- Estimated breach probability if unchanged: 35% within 12 months
Corrective Resolution (Board-Ready): "RESOLVED, that the Board approves the attached Insider Trading Policy effective [DATE], establishing trading windows, pre-clearance procedures, and blackout dates for all covered persons, with compliance monitoring by the Audit Committee."
Policy Excerpt: "All trading in Company securities by directors, officers, and designated employees requires pre-clearance from the General Counsel at least two business days in advance. Requested trades outside designated windows require written exception approval from the CEO or Board Chair..."
What's Included
- Compliance Assessment Framework: Structured methodology for evaluating governance against regulatory and best-practice requirements
- Risk Priority Matrix: Color-coded assessment of all gaps with probability scores, business impact, and remediation effort estimates
- Board Resolution Templates: Pre-formatted resolutions for common governance actions (policy adoption, committee charter updates, officer elections)
- Policy Drafting Library: Templates for code of conduct, whistleblower, conflict-of-interest, related-party transaction, and other governance policies
- Regulatory Reference Guide: Quick-reference index of applicable frameworks (SOX, COSO, SEC rules, industry standards) with compliance checkpoints
- Remediation Roadmap: Phased action plan with timelines, resource requirements, approval workflows, and accountability assignments
Who It's For
- Chief Compliance Officer
- General Counsel / In-House Legal Team
- Board Secretary / Corporate Governance Specialist
- Chief Risk Officer
- Governance Consultant
Best For
- Annual compliance audits and control assessments
- Policy updates and governance framework refreshes
- Board meeting preparation and documentation review
- Regulatory response and remediation planning
- Third-party audit readiness and corrective action planning
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