Regulatory change alerts

1) Purpose and results

• Early detection of law/guide/standard/circuit rule edits.
• Prioritization by risk and deadlines, with clear SLAs.
• Implementation pipeline: from signal to updated policies/controls/contracts.
• Provability: sources, solutions, hash receipts, WORM archive.
• Ecosystem: a "mirror" among partners and providers.

2) Signal sources

Official registries and regulatory bulletins (RSS/e-mail/API).
Prof. platforms and associations (digests, alert feeds).
Standards/certifications (ISO, PCI SSC, SOC reports, manuals).
Court registries (key decisions/precedents).
Payment schemes and providers (operational bulletins).
Vendors/partners (mandatory change notices).
Internal sensors: Policy Owners, VRM, Privacy/AML, CCM/KRI results.

3) Alerting framework (high-level)

1. Ingest: collection via RSS/API/mail connectors; normalization into a general scheme.
2. Enrich: recognition of jurisdictions, topics, deadlines; tags (privacy/AML/ads/payments).
3. Dedup & Cluster: gluing takes and related publications.
4. Risk Score: criticality (Critical/High/Medium/Low), deadline, affected assets.
5. Route: auto-routing in GRC/ITSM/Slack/mail to owners.
6. Track: статусы (New → Analyzing → Planned → In Progress → Verified → Archived).
7. Evidence: immutable preservation of sources and solutions (WORM).

4) Classification and prioritization

Criticality criteria: impact on licenses/PII/finance/advertising/responsible play, obligation, timing, scale of affected systems/jurisdictions, risk of fines/suspensions.

Critical: threat of license/significant sanctions/strict deadlines → immediate triage, Eches/Committee.
High: mandatory edits with a short embed window.
Medium: significant, but with moderate timing.
Low: clarifications/recommendations/long deadlines.

5) Process SLA (minimum)

Signal→Triage: p95 ≤ 24 ч (Critical/High), ≤ 72 ч (Medium/Low).
Triage→Plan (approved implementation plan): ≤ 5 employees days (Critical/High), ≤ 15 working days days (Medium/Low).
Plan→Comply (green controls/updated policies): before the regulator's date; if there is no date, the target p95 ≤ 60 days.
Vendor Mirror: confirmation of mirror changes from critical partners - ≤ 30 days from Plan.

6) Roles and RACI

7) Integration with policy-as-code and controls

yaml alert_id: REG-ADS-2025-UK summary: "Tightening UK advertising rules"
controls:
- id: CTRL-ADS-DISCLOSURE metric: "ad_disclosure_presence_rate"
threshold: ">= 99%"
ccm_rule: "rego: deny if ad. requires_disclosure and not has_disclosure"
policies: ["MKT-RESP-UK"]
procedures: ["SOP-MKT-ADS-UK"]
deadline: "2025-02-15"

Advantages: automatic compliance check, block gates in CI/CD, transparent metrics.

8) Notification channels and rules

To: policy/control owners, regional leaders, VRM, Legal/DPO.

How: GRC card + Slack/mail with a short "what/where/when/who/before when."

Noise cancellation: batch digests for Low/Medium, immediate pings for Critical/High.
Continuity: duplication into weekly "Regulatory Radar" digests.

9) Deduplication, Binding, and Suppression

Cluster by topic/jurisdiction: one "case" per series of publications/clarifications.
Update chaining: linking explanations/FAQ to the original act.
Snooze/merge: suppressing secondary alerts in an active case.
False-positive review: fast refue by the Legal/DPO process.

10) Artefacts and evidence

Source text/extract/screen/PDF with timestamp.
Legal summary and position (1-page).
Impact-matrix (systems/processes/control/vendors/country).
PR-diffuses of policies/standards/SOP, updated control statements.
JMA/metrics reports, confirmation of green rules.
Vendor letters/addendums (mirror).
Everything is in WORM with hash receipts and access log.

11) Dashboards (minimum set)

Regulatory Radar: alert status (New/Analyzing/Planned/In Progress/Verified/Archived), deadlines.
Jury Heatmap: changes by country and topic (privacy/AML/ads/payments).
Compliance Clock: Timers to deadlines and delinquency risks.
Controls Readiness: pass-rate of associated CCM rules, "red" gates.
Vendor Mirror: confirmations from critical partners.
Training & Attestations: coverage of courses/confirmations by affected roles.

12) Metrics and KPI/KRI

Signal-to-Triage p95 и Triage-to-Plan p95.
On-time Compliance Rate (before the regulator deadline), target ≥ 95%.
Coverage by Jurisdiction/Topic:% of alerts with full mapping.

Evidence Completeness: % of cases with full "update pack."

Vendor Mirror SLA:% confirmations from partners, 100% target for critical.

Repeat Non-Compliance by Topic/Country (↓ Trend)

Noise Ratio: the proportion of alerts taken as duplicates/low-value (controlled).

13) SOP (standard procedures)

SOP-1: Intake & Triage

Connector recorded signal → card in GRC → assign criticality/jurisdiction → assign Legal/DPO and Policy Owner → prior to SLA for triage.

SOP-2: Impact Assessment & Plan

Legal position → matrix of influence → proposal of measures → Committee decision → plan with owners, deadlines, budget.

SOP-3: Implementation

PR to the policy repository → update control statements/CCM → product/control/contract changes → LMS-course/one-pager.

SOP-4: Verification & Archive

Checking "green" rules/metrics → collecting "legal update pack" → WORM archive → monitoring plan for 30-90 days.

SOP-5: Vendor Mirror

VRM ticket → request for confirmations/addendums → verification → escalation in case of delay.

14) Templates

14. 1 Alert Card (GRC)

ID/source/link/date, jurisdictions/topics, deadline, criticality.
Legal Summary (5-10 lines).
Impact matrix and owner.
Plan (measures, due, budget), dependencies.
Related policies/controls/SOPs/courses.
Status, artifacts, hash receipts.

14. 2 One-pager for business

What changes → whom → what we do → before when → contacts → links to a policy/course.

14. 3 Vendor Confirmation

Format of the letter/portal: "what has changed," "what has been implemented," "evidence," "timing of the next steps."

15) Integrations

GRC: unified registry of alerts, statuses, SLA, CAPA/waivers.
Policy Repository (Git): PR process, versioning, hash anchors.
CCM/Assurance-as-Code: compliance tests as code, auto-runs.
LMS/HRIS: courses/attestations by role and country.
ITSM/Jira Change and Release Challenges.
VRM: confirmations from vendors, mirror retention.

16) Antipatterns

"Mail to all" without routing and priority.
Manual unloading without immutability and storage chains.
Alert is not associated with controls/policies/courses.
"Eternal" alerts without plans/deadlines and owners.
Lack of vendor mirror → divergence in supply chain.
No observation for 30-90 days → drift and repetitions.

17) Maturity model (M0-M4)

M0 Hell-hoc: random letters, no registry and SLA.
M1 Catalogue: basic register of signals and responsible persons.
M2 Managed: prioritization, dashboards, WORM-evidence, LMS/VRM bundles.
M3 Integrated: policy-as-code, CCM tests, CI/CD gates, "update pack" by button.
M4 Continuous Assurance: predictive KRI, NLP triage, auto-planning, recommendation measures.

18) Related wiki articles

Tracking legal updates

Policy and compliance repository

Policies and Procedures Lifecycle

Continuous Compliance Monitoring (CCM)

KPIs and compliance metrics

External audits by external auditors

Partner Compliance Guide

Storage of evidence and documentation

Total

Alerts of regulatory changes are not notifications, but a managed pipeline: accurate sources, smart triage, mapping to policies and controls, verifiable execution and a vendor mirror. Such a system makes compliance predictable, fast and provable for any markets and regulators.