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How to monitor regulatory filing obligations?

Regulatory filing obligations are hidden across rules, notices, contracts, policies, board packs, and operational documents. TextMine helps teams extract filing triggers, dates, owners, dependencies, and evidence from document sets and turn them into workflowed obligations.

Create filing workflows

What are regulatory filing obligations?

Filing obligations are deadlines or events that require an organization to submit information to a regulator, exchange, authority, or client. They may be triggered by time, transaction events, threshold changes, incidents, or governance approvals.

TextMine extracts obligation facts and uses Workflows to make sure owners act before deadlines.

An illustration of data being extracted from documents

Why are filing obligations hard to monitor?

Obligations may be described across legal documents, policies, regulatory guidance, board materials, and correspondence. Manual calendars often miss the source evidence and rationale behind each deadline.

TextMine keeps obligations linked to the source clause, reviewer state, and audit trail.

an illustration of documents

How does TextMine automate filing monitoring?

Vault extracts filing triggers, due dates, responsible team, evidence requirements, and related documents. Records store the obligation. Workflows create reminders, approvals, and escalation tasks. Playbooks can check whether required evidence has been collected.

an illustration of vault extracting data from contracts and answering questions about them

Example obligation

The company must notify the regulator within five business days of becoming aware of a material control breach and must retain evidence of root cause analysis and remediation approval.

Filing trigger
Material control breach
Deadline
5 business days
Required evidence
Root cause and remediation approval
Owner
Compliance reporting team
Filing trigger
Material control breach
Deadline
5 business days
Required evidence
Root cause and remediation approval
Owner
Compliance reporting team

Example obligation

The company must notify the regulator within five business days of becoming aware of a material control breach and must retain evidence of root cause analysis and remediation approval.

Filing trigger
Material control breach
Deadline
5 business days
Required evidence
Root cause and remediation approval
Owner
Compliance reporting team
Filing trigger
Material control breach
Deadline
5 business days
Required evidence
Root cause and remediation approval
Owner
Compliance reporting team

Watch a video of Vault extract data from documents

How to get started with Vault

To see how Vault performs on your use document data extraction use case, book a demo with a member of our team using the following form.

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