Release.art

Regulatory Compliance Assistant

The Regulatory Compliance Assistant is an AI-assisted decision-support tool designed to help compliance and audit teams review and assess regulatory obligations more efficiently, without reducing control, accountability, or auditability.

It supports structured compliance workflows where human judgement, evidence, and auditability are essential.

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Built on trusted regulatory data

The Regulatory Compliance Assistant is built on Release.art’s Model Context Protocol (MCP) services.

This provides:

• Read-only access to authoritative regulatory and corporate data
• Clear data provenance and attribution
• No uncontrolled replication or embedding of regulatory content
• Alignment with internal governance and audit expectations

MCP provides the controlled data foundation that allows the Assistant to operate safely and defensibly in regulated environments.

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What the Assistant supports

The Assistant is designed to support assessment and review activities, not to replace existing compliance governance or approval processes.

It is commonly used for:

• Advertising and promotional material reviews
• Internal compliance checks and pre-assessments
• Risk and control support workflows
• Preparation for audit or peer review

The Assistant does not make final compliance decisions. It produces structured draft outputs for human review.

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Example workflow: compliance pre-assessment

In a typical deployment, the Assistant supports an initial compliance review process as follows:

• Selected materials (e.g. website pages, documents, or communications) are analysed
• The system uses MCP-based regulatory context to inform analysis
• Potential risk areas or missing disclosures are highlighted
• A clearly marked draft assessment report is generated for human assessors

The output is a structured starting point, not a compliance determination.

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Evidence and audit trail

Every assessment produced by the Assistant is accompanied by a structured, reviewable evidence trail.

This includes:

• Screenshots of assessed content
• Annotations highlighting relevant statements or disclosures
• References showing where regulatory context was applied
• Direct linkage between findings and source material

Assessors can access and review evidence directly as part of their normal workflow.

This approach ensures that:

• Findings are transparent and reviewable
• Conclusions can be verified without re-running analysis
• Reports are supported by concrete, inspectable evidence
• Audit and quality assurance processes are simplified

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Designed for regulated organisations

The Regulatory Compliance Assistant is designed with regulated operating assumptions in mind:

• Human-in-the-loop review by default
• Clear separation between assistance and decision-making
• Evidence-first outputs suitable for audit and peer review
• Designed to integrate with existing access controls and workflows
• All outputs are designed to be reviewable independently of the system that generated them.

The Assistant supports decision-making. It does not replace it.

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Typical users

The Assistant is typically used by:

• Compliance and regulatory teams
• Internal audit and assurance functions
• Legal and risk teams
• Operational teams operating under regulatory oversight

It is intended for internal use within organisations and is not exposed directly to end users or the public.

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Procurement and audit summary

Scope and intent

• Supports internal compliance and review workflows
• Produces draft, advisory outputs only
• Does not provide legal or regulatory determinations

Auditability and evidence

• Evidence captured alongside each assessment
• Findings linked directly to source material
• Suitable for audit, peer review, and QA processes

Governance and control

• Human assessors retain responsibility for decisions
• Designed to align with internal governance models
• Supports defensible, explainable compliance outcomes

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Limitations and safeguards

Explicit limitations

The Regulatory Compliance Assistant:

• Does not make final compliance or regulatory decisions
• Does not provide legal advice
• Does not operate autonomously
• Does not guarantee regulatory outcomes

All outputs require review and sign-off by appropriately qualified personnel.

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Safeguards by design

• Human-in-the-loop workflows
• Evidence-based outputs
• Transparent linkage between findings and sources
• Clear distinction between assistance and judgement

These safeguards support a responsible approach to AI adoption in regulated environments.

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Relationship to MCP services

The Regulatory Compliance Assistant is an applied solution built on top of Release.art’s MCP services.

MCP provides the controlled, read-only access to authoritative regulatory and corporate data. The Assistant applies that data within structured, evidence-backed compliance workflows.

Each layer can be reviewed, governed, and assessed independently.