Policy compliance breaches
Transactions that violate documented policy thresholds, approval requirements, or prohibited categories.
RISK COVERAGE
Compliance & Regulatory Risk Analytics
Turn written policy into executable tests, and run them continuously instead of at audit time.
Compliance programmes usually know their obligations precisely and test them infrequently. The gap between the two is where regulatory findings come from: a screening step skipped during a system outage, an onboarding pack never completed, a policy threshold that quietly stopped being enforced after a process change.
foretale.ai converts policy documents and control requirements into analytics that run against live transaction data, so compliance breaches surface as they occur rather than during the next review cycle.
WHAT WE DETECT
Risks tested in this domain
Sanctions and watchlist screening gaps
Counterparties never screened, screening performed after payment, and matches cleared without documented rationale.
Due diligence completeness
Counterparties missing required onboarding evidence, expired documentation, and risk ratings never refreshed.
Regulatory exception detection
Reportable events identified late, thresholds breached without escalation, and exceptions approved outside authority.
Data residency and handling
Processing or transfer patterns inconsistent with stated data residency and retention commitments.
Control attestation gaps
Required periodic reviews, certifications, or reconciliations not performed on schedule.
HOW IT RUNS
Understand → Plan → Execute → Explain
foretale.ai maps your data and relationships, plans the analytics for this domain, tests the full population, and returns findings with evidence attached. Your team keeps every judgement.
DATA USED
What we need from your systems
- Policy and procedure documents
- Counterparty master and onboarding records
- Sanctions, PEP, and watchlist reference data
- Transaction and payment data
- Approval and escalation records
- Attestation and review logs
Related reading
Frequently asked questions
How do you turn a written policy into an analytic?
Policy documents are provided as context, and the specific, testable obligations within them — thresholds, required approvals, prohibited categories, screening requirements — are expressed as analytics against transaction data. Obligations that depend on judgement remain with reviewers; the mechanical ones become continuous tests.
What is continuous compliance monitoring?
Continuous compliance monitoring runs control tests against the full transaction population on an ongoing schedule rather than during periodic review. The practical benefit is timing: breaches are detected while they can still be corrected, escalated, or recovered.
Can screening gaps be detected retrospectively?
Yes. Comparing counterparty and payment records against screening logs identifies counterparties that were never screened, screened only after payment, or cleared without a recorded rationale.
Does this replace our compliance case management?
It can. Findings move directly into investigation workflows where they are validated, escalated, tracked, and closed with evidence, which removes the need for a separate case management tool in many programmes.
NEXT STEP
See it on your data.
Request a focused walkthrough—usually within one business day.