Codira ESQ Regulatory & Compliance

Turn Regulatory Complexity Into Actionable Intelligence.

Coming soon

Regulatory work is rarely about one law, one filing, or one regulator. Statutes. Regulations. Agency guidance. Licenses. Policies. Controls. Filings. Audits. Investigations. Complaints. Certifications. Deadlines. Evidence. And they are constantly interacting.

Codira ESQ transforms fragmented regulatory information into connected compliance intelligence.

Know the requirement. Understand the obligation. Connect the evidence. Prove the work.

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Compliance Shouldn’t Live in Spreadsheets.Are We Compliant—and Can We Prove It?

Organizations often manage regulatory obligations across spreadsheets, policy documents, calendars, email, shared drives, and individual departments. That makes a simple question surprisingly difficult.

Codira ESQ connects:

  1. Law
  2. Regulation
  3. Requirement
  4. Policy
  5. Control
  6. Owner
  7. Evidence
  8. Testing
  9. Finding
  10. Remediation

Instead of simply storing compliance documents, Codira ESQ helps create a structured model of the organization’s regulatory obligations.

Move from compliance documentation to compliance intelligence.

Regulatory Intelligence.Understand What Applies to the Organization.

Different businesses can face overlapping regulatory requirements across jurisdictions, products, industries, and activities. Connect each authority to the business activities, entities, products, and processes it potentially affects.

StatutesRegulationsAgency rulesGuidanceLicenses & permitsConsent agreementsContract requirementsEntitiesProductsBusiness activitiesProcessesJurisdictionsWhat Applies

Know not only what the rule says—but where it matters.

Obligation Intelligence.Turn Regulations Into Requirements People Can Act On.

A 200-page regulation isn’t a compliance program. The organization needs to understand what it is actually required to do. Each obligation can remain connected to its underlying authority.

  1. ✓

    Requirement

    Review access quarterly

  2. ✓

    Applicable Entity

    Northwind Bank, N.A.

  3. ✓

    Business Process

    User provisioning

  4. ✓

    Responsible Owner

    IT Security

  5. ✓

    Policy

    Access Control Policy §4

  1. ✓

    Control

    AC-2 Quarterly review

  2. ✓

    Evidence

    Q3 sign-off

  3. ✓

    Testing

    Passed · Sep 12

  4. ✓

    Status

    Effective

Turn regulatory language into operational accountability.

Regulatory Change Intelligence.Know When the Rules Change.

Regulations evolve. New rules are issued. Guidance changes. Requirements become effective. Interpretations develop. Existing policies may no longer align with current requirements.

Amended rule

Effective Jan 1

PoliciesControlsProcessesContractsDisclosuresEntitiesProductsTrainingVendors

Don’t just identify the change. Understand what the change touches.

Policy Intelligence.Connect Policies to the Requirements Behind Them.

A policy shouldn’t exist simply because someone created a document years ago. This creates traceability from the organization’s policy back to the reason the policy exists.

Safeguards Rule

Regulation

Authority

Access controls

Requirement

Mapped

Encryption

Requirement

Mapped

Vendor oversight

Requirement

Mapped

Access Control Policy

Policy · v4

IT Security

Data Protection Policy

Policy · v7

Privacy Office

Third-Party Risk Policy

Policy · v2

Procurement

Codira ESQ can connect internal policies to:

  • Regulatory requirements
  • Business processes
  • Controls
  • Responsible departments
  • Approval history
  • Supporting procedures
  • Testing
  • Evidence
  • Related findings

Know which rule every policy is helping address.

Control Intelligence.Know How Compliance Actually Happens.

Policies describe expectations. Controls demonstrate how those expectations are implemented.

Control AC-2 · Quarterly access review

Requirement
Safeguards Rule · access controls
Control objective
Only authorized people hold access
Control activity
Managers certify each user’s access
Control owner
IT Security
Frequency
Quarterly
Evidence
Signed certifications, removal tickets
Testing
Internal audit · annually
Exceptions
2 late certifications in Q2
Remediation
Automated reminders added
Approval
CISO · Jul 8

Connect what you’re required to do with how you’re actually doing it.

Evidence of Compliance.Don’t Just Say You’re Compliant. Show the Work.

When regulators, auditors, customers, investors, or boards ask questions, organizations need more than policies. They need evidence.

1,284evidence items
  • Logs and reports412
  • Approvals and reviews306
  • Testing results218
  • Training records191
  • Certifications87
  • Policies and procedures70

Move from “we believe we’re compliant” to a documented compliance record.

Compliance Mapping.One Control Can Satisfy Multiple Requirements.

Organizations operating under multiple regulatory frameworks often duplicate work because similar obligations are managed separately. A single control may potentially support multiple regulatory obligations.

Control AC-2SOC 2Coming soonSOXComing soonHIPAAComing soonPCI DSSComing soonGLBAComing soonState regulationsCustomer contracts

Map once. Understand everywhere it applies.

Gap Intelligence.See What’s Missing.

Codira ESQ can help identify areas requiring human review. The system surfaces the gap. Your compliance and legal teams determine its significance and response.

  • 142 mapped, controlled and evidenced
  • 18 control without supporting evidence
  • 9 requirement with no mapped policy
  • 11 expired documentation

Such as:

  • Requirement with no mapped policy
  • Policy with no identified control
  • Control without supporting evidence
  • Expired documentation
  • Incomplete testing
  • Failed control
  • Unresolved finding
  • Missing approval
  • Approaching deadline
  • Conflicting requirements

Find the hole before someone else does.

Compliance Risk Intelligence.Focus Attention Where It Matters.

Not every compliance issue carries the same implications. Instead of treating compliance as an endless checklist, teams gain a structured view of the issues requiring attention.

Impact →
Vendor without audit rightsLate access reviewsExpired state licenseMarketing disclosuresTraining gaps

Likelihood →

Organize each matter around:

  • Applicable requirement
  • Affected business activity
  • Potential exposure
  • Existing controls
  • Supporting evidence
  • Prior findings
  • Responsible owner
  • Remediation
  • Attorney assessment

Turn compliance volume into prioritized legal work.

Regulatory Filing Intelligence.Know What Must Be Filed, Where, and When.

Connect each filing to the entity, jurisdiction, requirement, responsible person, and source authority behind it.

Jan

  • Annual privacy notice

Feb

  • Call report

Mar

  • State license · TX
  • Form 10-K

Apr

  • Safeguards report to board

May

  • Call report

Jun

  • Money transmitter · NY

Jul

  • AML certification

Aug

  • Call report

Sep

  • State license · CA

Oct

  • Vendor attestations

Nov

  • Call report
  • NMLS renewal

Dec

  • Annual compliance report

Filings Renewals Reports

Codira ESQ helps organize:

  • Regulatory filings
  • Registrations
  • Licenses
  • Renewals
  • Certifications
  • Reports
  • Notices
  • Disclosures
  • Supporting documentation
  • Attorney-defined deadlines

Make the filing calendar part of the intelligence system.

License & Permit Intelligence.Keep Authority to Operate Visible.

Businesses may depend on dozens—or hundreds—of licenses and permits.

  • Oct 14Money transmitter license · TexasNorthwind Payments LLC · renewal filed?12 days
  • Nov 30NMLS company renewalNorthwind Mortgage LLC59 days
  • Dec 31Air permit · Plant 2Northwind Manufacturing · state DEQ90 days
  • Mar 1Insurance producer license · FloridaNorthwind Insurance Agency151 days

Track:

  • License
  • Issuing authority
  • Entity
  • Jurisdiction
  • Permitted activity
  • Effective date
  • Expiration
  • Renewal
  • Conditions
  • Required reporting
  • Supporting documents

Know which permissions keep the business operating.

Investigation Intelligence.When the Regulator Calls, Understand the Entire Matter.

Regulatory investigations can rapidly generate subpoenas, civil investigative demands, document requests, interviews, productions and deadlines. Codira ESQ brings those materials into a connected investigation model.

RequestDueProducedStatus
CID Request 1 · marketing materialsAug 301,412 documentsComplete
CID Request 4 · complaint logsSep 202 of 3 yearsPartial
Interrogatory 7 · fee calculationsOct 10—In review
Interview · former product leadOct 18—Scheduling
CID Request 9 · board minutesOct 3—Overdue

Know what was requested, what was produced, what the evidence shows, and what remains unresolved.

Internal Investigation Intelligence.Turn Scattered Evidence Into a Defensible Record.

Internal investigations can involve thousands of emails, messages, documents, transactions, interviews, and conflicting accounts. Every material finding can remain connected to its supporting source.

  1. AllegationHotline report #2026-114
  2. People3 employees, 1 vendor
  3. EventsQ1 invoice approvals
  4. Communications412 emails, 88 chats
  5. DocumentsPurchase orders and invoices
  6. Evidence14 items tagged
  7. Interviews5 completed
  8. FindingsSubstantiated in part
  9. RemediationApproval limits changed

Investigate the facts—not the folder structure.

Regulatory Response Intelligence.Build the Response From the Evidence.

When responding to a regulator, legal teams need to understand exactly what supports each statement.

Response to Request 4 · draft for approval:

  1. 1. Complaints are logged within one business day of receipt.

    Complaint SOP v3Log sample · 200

  2. 2. Each complaint is reviewed by compliance within 15 days.

    Q1–Q3 review reports

  3. 3. Fee disputes are escalated to the product owner.

    Escalation matrixNeeds evidence

  4. 4. Trends are reported to the board quarterly.

    Board minutes · Apr, Jul

Codira ESQ can help organize:

  • Regulatory requests
  • Questions
  • Relevant documents
  • Supporting evidence
  • Internal analysis
  • Draft responses
  • Approvals
  • Productions
  • Correspondence

Connect the answer to the evidence before the response leaves the organization.

Audit & Examination Readiness.Don’t Start Preparing When the Auditor Arrives.

When an examination or audit begins, teams aren’t starting from an empty folder.

  • Governance

    No open issues · 100% reviewed

  • Access management

    2 open issues · 92% reviewed

  • Vendor management

    5 open issues · 70% reviewed

  • Data protection

    1 open issue · 95% reviewed

  • Complaints

    3 open issues · 81% reviewed

  • Marketing

    4 open issues · 66% reviewed

  • AML

    No open issues · 100% reviewed

  • Training

    2 open issues · 88% reviewed

Darker means more open issues.

Build readiness into everyday compliance.

Finding & Remediation Intelligence.A Finding Isn’t Finished Until It’s Resolved.

Preserve the history of what was found, what changed, and what evidence supports closure.

  1. ✓FindingExam finding 2026-03
  2. ✓Requirement
  3. ✓Evidence
  4. ✓Responsible ownerVendor Management
  5. ✓Remediation plan
  6. •Tasks4 of 6 complete
  7. Supporting documentation
  8. Testing
  9. Approval
  10. Closure

Turn remediation into a documented process.

Compliance Deadline Intelligence.Know What’s Coming Before It Becomes Urgent.

Each deadline can remain connected to the authority or obligation that created it.

This week2

  • Respond to CID Request 9

    Investigation · overdue

  • Q3 access certifications

    Control AC-2

This month2

  • Texas license renewal

    Licensing

  • Anti-harassment training

    Training requirement

This quarter3

  • Annual policy review

    Policy review

  • Vendor remediation milestone

    Finding 2026-03

  • Call report

    Reporting obligation

A deadline shouldn’t exist without context.

Ask Your Compliance Program.Get Answers Across Regulations, Policies, Controls, and Evidence.

Ask questions such as:

  • Which regulations apply to this business activity?
  • What controls support this requirement?
  • Show the evidence for this control.
  • Which requirements don’t have mapped controls?
  • Which licenses expire this year?
  • What remediation items remain open?
  • What changed since our last compliance review?
  • Show everything related to this regulator.

Codira ESQ helps locate relevant information and connect the answer to its underlying sources.

Ask the compliance system—not ten departments.

Multi-Jurisdiction Intelligence.One Business. Many Rulebooks.

Codira ESQ can organize requirements by jurisdiction, entity, product, activity, and regulator, so legal and compliance teams see where requirements overlap—and where they differ.

84131473812921FederalStateInternationalin all three

Across:

  • Federal
  • State
  • Local
  • International
  • Industry-specific

Understand the regulatory landscape around the business.

Compliance Across the Enterprise.Regulatory Issues Rarely Stay Inside One Department.

Because Codira ESQ operates on a shared intelligence architecture, regulatory information can connect directly with other practice modules.

Issue found in M&A diligenceRegulatory investigationNew regulationRemediation matterLitigationContract changes

Compliance can intersect with:

  • Corporate
  • Employment
  • Commercial Contracts
  • Privacy
  • Cybersecurity
  • Securities
  • Real Estate
  • Intellectual Property
  • Litigation
  • M&A

One legal intelligence platform. Connected across the practice.

Institutional Compliance Intelligence.Stop Losing the “Why.”

  • Why was this policy created?
  • Which regulation required this control?
  • Why was this exception approved?
  • What did the regulator ask last time?
  • How was the previous finding resolved?

Codira ESQ helps preserve the decisions, documents, evidence, and history behind the compliance program.

Keep institutional knowledge inside the organization—not just inside people’s heads.

AI With Legal Guardrails.Intelligence Without Giving Up Professional Judgment.

Regulatory analysis requires precision, traceability, and context. Codira ESQ combines specialized AI workflows with structured matter intelligence, source grounding, deterministic controls, verification, and professional review.

  1. AI accelerates the analysis

    Extract, map, organize, compare, connect, search, summarize, draft

  2. Issues surface for review

    Every finding tied to its source

  3. Professionals make the decision

    Applicability, materiality, interpretation, response

AI accelerates the analysis. Professionals make the decision.

What Changes With Codira ESQ?From Scattered Records to a Chain of Proof.

Without Codira ESQ

  • Regulations live in research systems.
  • Policies live in documents.
  • Controls live in spreadsheets.
  • Evidence lives in folders.
  • Deadlines live on calendars.
  • Findings live in reports.
  • Remediation lives in project-management systems.
  • Institutional knowledge lives with individual employees.

With Codira ESQ

  • Requirements become structured intelligence.
  • Policies connect to regulations.
  • Controls connect to obligations.
  • Evidence connects to controls.
  • Findings connect to remediation.
  • Deadlines connect to their source requirements.
  • Regulatory history becomes searchable institutional knowledge.

Compliance Isn’t a Document.It’s a Chain of Proof.

The regulation creates the requirement. The requirement drives the policy. The policy is implemented through controls. The controls generate evidence. The evidence demonstrates what actually happened.

Codira ESQ connects the entire chain.

Know the requirement. Map the control. Connect the evidence. Prove the work.

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