Practice Area Guides

Regulatory, Investigations, and Compliance

From internal investigations through ongoing compliance monitoring, August helps regulatory lawyers map events, identify patterns, and maintain consistent policy frameworks—so your team can focus on strategic guidance and risk mitigation.

Internal Investigations

Use Matter Intelligence to analyze large document sets and map key events in investigations.

  1. Use Matter Intelligence across emails, reports, and interview notes to map key events and identify recurring themes.

  2. Ask for structured summaries of alleged incidents, including dates, participants, and referenced policies.

  3. Generate briefing notes for interviews and internal presentations, always retaining direct links to the underlying materials.

Example prompt

In the 'Project Investigation' matter, identify all references to alleged improper payments to third parties. For each instance, list: (1) date, (2) individuals involved, (3) counterparty or recipient, (4) amount if stated, (5) source document with page citation, and (6) referenced policies. Generate a briefing note summarizing the key findings for interview preparation.

Ongoing Compliance and Monitoring

Use Assistant and Tabular Review to maintain and monitor compliance frameworks.

Policy Review and Updates

  1. Upload policy sets and training materials to August.

  2. Use Assistant to generate tailored summaries and FAQs for specific business units or jurisdictions.

Cross-Entity Policy Comparison

Leverage Tabular Review to compare key policy provisions across entities or geographies, flagging inconsistencies for remediation.

Example prompt

Run Tabular Review on all compliance policies in the 'Global Policies' folder. For each policy, extract: (1) policy name, (2) applicable jurisdictions, (3) key requirements, (4) reporting obligations, (5) prohibited activities. Flag any inconsistencies in requirements across jurisdictions and highlight gaps for remediation.

Regulatory Research and Analysis

Use Assistant to research regulatory requirements and analyze their impact on client operations.

  1. Upload relevant regulations, guidance documents, and client materials.

  2. Ask for analysis of applicability, compliance gaps, and recommended actions.

  3. Generate client-facing summaries explaining regulatory requirements in plain language.

Example prompt

Based on the attached regulatory guidance and the client's current practices described in the attached materials, identify: (1) which requirements apply to the client's operations, (2) any current compliance gaps, (3) recommended remediation steps, and (4) a client-facing summary explaining the key requirements in plain language.

Integrations That Fit Your Practice

  • Microsoft Word: draft policy updates and compliance documents without leaving Word

  • Outlook: track regulatory correspondence and stakeholder communications

Enterprise-Grade Security for Sensitive Matters

  • Single-tenant deployment: your environment stays isolated

  • AES-256 encryption: data protected at rest and in transit

  • Ethical walls: matter-level access control across your team

  • No training on your documents: investigation and compliance data is never used to train AI models

August maintains ISO 27001:2022 and SOC 2 Type II certification.

Next Steps

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