Regulatory Compliance Case Process

Start of the Workflow/Process.

Retrieve all active regulatory frameworks from the Compliance Data Model to check against the current case.

Create a new entry in the Compliance Case Data Model to track the start of the investigation/audit.

Update the risk level field in the Case entry based on the findings of the initial assessment.

Create a task for a designated Compliance Officer to perform the primary investigation.

Retrieve all existing evidence entries associated with the specific audit period.

Execute a formula calculating the total risk score based on weighted violation points and regulatory impact.

Create a task for the Legal Team to verify the authenticity of the retrieved evidence logs.

Aggregate the 'Potential Fine' property from all identified violation entries to calculate the total financial exposure.

Update the Case entry with the summary of findings and the calculated risk score.

Create a new entry in the Non-Compliance Register if the risk score exceeds the threshold.

Send an email notification to the Legal Department regarding the identified regulatory breach.

Create a task for the Operations Manager to draft a corrective action plan.

Fetch all tasks related to the remediation plan to ensure they are mapped to the case.

Update the Case entry status to 'Closed' once all remediation tasks are verified.

Generate a comprehensive report summarizing the case, findings, and final resolution for executive review.

Send an urgent SMS to the Head of Compliance if a 'Critical' severity breach is detected.

Delete temporary or redundant draft entries created during the investigation phase to maintain data hygiene.

End of the Workflow/Process.