REGULATORY COMPLIANCE CASE PROCESS

Created by ChecklistGuro (https://checklistguro.com)

[ ] Fetch Active Regulations: Retrieve all active regulatory frameworks from the Compliance Data Model to check against the current case.
[ ] Initialize Compliance Case: Create a new entry in the Compliance Case Data Model to track the start of the investigation/audit.
[ ] Update Case Severity: Update the risk level field in the Case entry based on the findings of the initial assessment.
[ ] Assign Compliance Officer: Create a task for a designated Compliance Officer to perform the primary investigation.
[ ] Get Evidence Logs: Retrieve all existing evidence entries associated with the specific audit period.
[ ] Calculate Risk Score: Execute a formula calculating the total risk score based on weighted violation points and regulatory impact.
[ ] Evidence Verification Task: Create a task for the Legal Team to verify the authenticity of the retrieved evidence logs.
[ ] Summarize Violation Fines: Aggregate the 'Potential Fine' property from all identified violation entries to calculate the total financial exposure.
[ ] Log Audit Findings: Update the Case entry with the summary of findings and the calculated risk score.
[ ] Create Non-Compliance Report: Create a new entry in the Non-Compliance Register if the risk score exceeds the threshold.
[ ] Notify Legal Counsel: Send an email notification to the Legal Department regarding the identified regulatory breach.
[ ] Remediation Plan Creation: Create a task for the Operations Manager to draft a corrective action plan.
[ ] Retrieve Remediation Tasks: Fetch all tasks related to the remediation plan to ensure they are mapped to the case.
[ ] Close Compliance Case: Update the Case entry status to 'Closed' once all remediation tasks are verified.
[ ] Generate Final Compliance Audit Report: Generate a comprehensive report summarizing the case, findings, and final resolution for executive review.
[ ] Alert Compliance Head: Send an urgent SMS to the Head of Compliance if a 'Critical' severity breach is detected.
[ ] Cleanup Draft Entries: Delete temporary or redundant draft entries created during the investigation phase to maintain data hygiene.

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