Integrations
Connects to the tools you use
Set up connections through ERP.AI and Proto workflows, with every change logged.
- Regulatory Change Management
- Rule publication source
- Evidence storage
- Identity directory
- Downstream policy work
Regulatory Change Management · Available now
Example screen with sample data
Trace each rule decision through assessment and control evidence.
A Control Owner registers a rule change for an organization, ties it to an assessment, and records its authority, source publication and effective date. The assessment identifies the business unit, owner and review period.
- No per-user fees
- Manual work is free
- Configure it in Proto
OverviewSubmitted Rule Changes×
Regulatory Change Management · Rule changes 2
New rule changes 2
Submitted Rule Changes
Rule changes 2 in one list
Rule changes 2 in view
6Submitted
3Approved
3Submitted3
State banking departmentStonefield Advisory
190
03 NovPayments oversight boardWillow Gate Capital
530
14 OctFinancial conduct officeHarbor Glen Financial
880
20 OctAdd
Approved3
Consumer finance authorityBlue Vale Services
870
16 OctPrivacy commissionerElm Quay Payments
960
13 OctNational data regulatorElm Quay Payments
130
19 OctAdd
State banking departmentRule changes 2 · RC-16392
SubmittedRevision190
Effective from03 Nov
OrganizationStonefield Advisory
ParentClient onboarding controls, Q3 2026
Review revisionRC-16392 · State banking department
Independent Assurance Reviewer decides on the submitted revision.
Waiting for Independent Assurance Reviewer
ApproveReturn
- Tables, ready to use
- 15
- Saved views
- 14
- Roles with set permissions
- 5
- Reports and dashboards
- 8
Features
Keep every change in view
Every feature works on the same records. Pick one to see the screen your team works in.
Rule Changes
Register a rule publication and carry its implementation decision into the assessment.
- Source
- Impact
- Decision
- Rule changes 2
- Assessments 2
- Organizations 2
- Review decisions 2
- Operation receipts 2
OverviewRule Review Queue×
Regulatory Change Management · Rule Changes
New
Rule Review Queue
Approval conditions
| Status | Revision | Authority | Source publication | Effective from | Parent | |
|---|---|---|---|---|---|---|
| Submitted | 450 | State banking department | Consumer disclosure bulletin 2026-04 | 19 Oct | Incident reporting gap review | |
| Submitted | 740 | Consumer finance authority | Payments guidance note 2026-12 | 18 Oct | Data retention change, 2026 | |
| Submitted | 940 | Payments oversight board | Vendor oversight circular 2026-03 | 29 Oct | Client onboarding controls, Q3 2026 | |
| Submitted | 930 | Privacy commissioner | Retention rule update 2026-07 | 24 Oct | Payment controls review, Q4 2026 | |
| Submitted | 420 | Financial conduct office | Consent directive 2026-09 | 30 Oct | Payment controls review, Q4 2026 |
6 of 6 records
State banking departmentRule changes 2 · RC-22172
SubmittedRevision450
Source publicationConsumer disclosure bulletin 2026-04
Effective from19 Oct
ParentIncident reporting gap review
Assessments
Set the business unit, owner and period for change impact work.
- Scope
- Ownership
- Progress
- Assessments 2
- Business units 2
- Organizations 2
- Assessment tests 2
- Findings 2
- Review decisions 2
OverviewAssessment Periods×
Regulatory Change Management · Assessments
New
Assessment Periods
Approval conditions
| Record number | Subject | Status | Period start | Period end | Counterparty | |
|---|---|---|---|---|---|---|
| ASS-65428 | Consumer disclosure impact, Q4 2026 | Planned | 31 Oct | 02 Nov | Vendor management | |
| ASS-98028 | Payment controls review, Q4 2026 | Testing | 03 Nov | 10 Nov | Vendor management | |
| ASS-34880 | Third-party oversight, Q3 2026 | Review | 20 Oct | 28 Oct | Records governance | |
| ASS-56505 | Data retention change, 2026 | Planned | 27 Oct | 03 Nov | Incident response | |
| ASS-94046 | Marketing consent review, Q4 2026 | Testing | 18 Oct | 21 Oct | Payment operations |
6 of 6 records
Consumer disclosure impact, Q4 2026Assessments 2 · ASS-65428
PlannedPeriod start31 Oct
Period end02 Nov
CounterpartyVendor management
Risks and Controls
Relate business unit risks to owned controls and their effective dates.
- Business unit risk
- Control ownership
- Test linkage
- Business units 2
- Risks 2
- Controls 2
- Assessment tests 2
- Findings 2
OverviewActive Controls×
Regulatory Change Management · Risks and Controls
New
Active Controls
Controls 2
| Control code | Description | Effective from | Status | Risk | Owner | |
|---|---|---|---|---|---|---|
| CTL-DISC-014 | Approve revised disclosures before use | 27 Oct | Active | Vendor control lapse undetected | Arjun Mehta | |
| CTL-PAY-022 | Review payment exceptions each day | 15 Oct | Active | Excess system access retained | Helena Price | |
| CTL-VEND-009 | Obtain annual vendor attestations | 31 Oct | Active | Consent withdrawal not honored | Noura Alami | |
| CTL-RET-018 | Apply retention rules to closed files | 16 Oct | Active | Client file accepted incomplete | Hana Mori | |
| CTL-CONS-031 | Log every consent status change | 31 Oct | Active | Vendor control lapse undetected | Leah Stein |
6 of 6 records
CTL-DISC-014Controls 2 · CNT-38779
ActiveDescriptionApprove revised disclosures before use
Effective from27 Oct
RiskVendor control lapse undetected
OwnerArjun Mehta
Testing and Findings
Record test results, exceptions and findings against the assessed control.
- Test line
- Result
- Finding
- Assessment tests 2
- Assessments 2
- Controls 2
- Findings 2
- Corrective actions 2
- Retests 2
OverviewPending Control Tests×
Regulatory Change Management · Testing and Findings
New
Pending Control Tests
Approval conditions
| Line number | Control code | Result | Parent | Control | Evidence reference | |
|---|---|---|---|---|---|---|
| 520 | CTL-DISC-014 | Pending | Incident reporting gap review | Automated retention schedule | EV-2026-0412 | |
| 490 | CTL-PAY-022 | Pending | Consumer disclosure impact, Q4 2026 | Annual vendor control attestation | EV-2026-0413 | |
| 760 | CTL-VEND-009 | Pending | Incident reporting gap review | Annual vendor control attestation | EV-2026-0414 | |
| 860 | CTL-RET-018 | Pending | Client onboarding controls, Q3 2026 | Consent change audit log | EV-2026-0415 | |
| 940 | CTL-CONS-031 | Pending | Payment controls review, Q4 2026 | Quarterly access recertification | EV-2026-0416 |
6 of 6 records
CTL-DISC-014Assessment tests 2 · AT-93891
PendingLine number520
ParentIncident reporting gap review
ControlAutomated retention schedule
Evidence referenceEV-2026-0412
Remediation and Retests
Carry findings through corrective work and independent retesting.
- Commitment
- Submission
- Verification
- Findings 2
- Corrective actions 2
- Retests 2
- Team members 2
- Controls 2
- Assessments 2
OverviewCorrective Actions for Verification×
Regulatory Change Management · Remediation and Retests
New
Corrective Actions for Verification
Approval conditions
| Due at | Completed at | Status | Finding | Owner | Evidence | |
|---|---|---|---|---|---|---|
| 16 Oct | Submitted | Consent withdrawal not logged | Noura Alami | disclosure-approval-sample.pdf | ||
| 04 Nov | Submitted | Disclosure approval trail incomplete | Mateo Cruz | payment-review-log.xlsx | ||
| 12 Oct | Submitted | Incident clock started late | Hana Mori | vendor-attestation.pdf | ||
| 14 Oct | Submitted | Disclosure approval trail incomplete | Victor Salazar | retention-rule-export.csv | ||
| 24 Oct | Submitted | Onboarding checklist unsigned | Arjun Mehta | consent-audit-trail.pdf |
6 of 6 records
disclosure-approval-sample.pdfCorrective actions 2 · CA-96284
SubmittedDue at16 Oct
FindingConsent withdrawal not logged
OwnerNoura Alami
Review and Evidence
Keep revision decisions, uploaded evidence and operation receipts in view.
- Decision
- Attachment
- Receipt
- Review decisions 2
- Operation receipts 2
- Record attachments 2
- Assessments 2
- Rule changes 2
- Team members 2
OverviewOperation Exceptions×
Regulatory Change Management · Review and Evidence
New
Operation Exceptions
Operation receipts 2
| Operation key | Action | Expected revision | Result state | Occurred at | Failure reason | |
|---|---|---|---|---|---|---|
| rule:disclosure:2026q4 | Register rule change | 380 | Failed | 27 Oct | Publication date missing | |
| review:payments:2026q4 | Start impact review | 50 | Needs review | 20 Oct | Control owner not assigned | |
| test:vendor:2026q3 | Assign control owner | 960 | Failed | 12 Oct | Evidence file unreadable | |
| action:retention:2026 | Record test result | 450 | Needs review | 18 Oct | Assessment period closed | |
| review:consent:2026q4 | Approve corrective action | 110 | Failed | 14 Oct | Retest result incomplete |
6 of 6 records
rule:disclosure:2026q4Operation receipts 2 · OR-19425
FailedActionRegister rule change
Expected revision380
Occurred at27 Oct
Failure reasonPublication date missing
Process
From publication to implementation
Review a rule change ships ready to use. One step needs a named approval before the work moves on: Review revision (Independent Assurance Reviewer).
Drag a card to another stage, or focus it and use the arrow keys. It updates to match the stage.
-
Register rule change
Record the source, authority, organization and linked assessment.
State banking departmentRC-16392 · Control OwnerRegister rule changeBy Control Owner -
Scope assessment
Set the business unit, owner and review period.
State banking departmentRC-16392 · Control OwnerScope assessmentBy Control Owner -
Test controls
Record test outcomes, exceptions and evidence.
State banking departmentRC-16392 · Control OwnerTest controlsBy Control Owner -
Review revision
Examine the submitted revision and supporting assessment.
State banking departmentRC-16392 · Independent Assurance ReviewerReview revisionBy Independent Assurance ReviewerApprovalIndependent Assurance Reviewer decides on the submitted revision. -
Record decision
Preserve the reviewer's decision and reason; inspect any recorded operation result.
State banking departmentRC-16392 · Independent Assurance ReviewerRecord decisionBy Independent Assurance Reviewer -
Complete implementation
Record completed work against the approved change.
State banking departmentRC-16392 · Control OwnerComplete implementationBy Control Owner
Inside a record
Place source and evidence in context
Open any rule changes 2 to see the roles that work on it, its process stages and its approvals on one page.
- 1Record details
Revision, Effective from, Organization and Parent.
- 2Linked records
Records linked to this rule changes 2.
- 3Who works on it
Each role sees what its permissions allow.
- 4Process stages
Every status change, in order.
- 5Approvals
Review revision, with who decides.
Submitted Rule ChangesState banking department×
Regulatory Change Management · Rule changes 2
Log activity
State banking department
Stonefield Advisory · Submitted
1
Record details
Revision190
Effective from03 Nov
OrganizationStonefield Advisory
ParentClient onboarding controls, Q3 2026
5
Approvals
- Review revisionIndependent Assurance ReviewerApproved
Approvals
Decide on the reviewed revision
Independent Assurance Reviewer reads eligible revisions and evidence independently of the preparer.
OverviewApprovals×
Regulatory Change Management · Overview
Approvals
Signed in as Independent Assurance Reviewer
Waiting for you
4 To review1 Overdue2 Decided todayOnly mine
0 selectedApproveReturn
- RC-22172State banking departmentSubmitted3dActions
- RC-11310Consumer finance authoritySubmitted2dActions
- RC-17626Payments oversight boardSubmitted5dActions
- RC-93753Privacy commissionerSubmitted5dActions
Who approves what
| Decision | Approver | |
|---|---|---|
| Review revisionExamine the submitted revision and supporting assessment. | Independent Assurance Reviewer |
1 approval rule · set per role in Proto
Roles
A workspace for each role
Everyone opens Regulatory Change Management to the work that is theirs. Pick a role to see what it starts with.
Independent Assurance Reviewer
Review eligible revisions independently and reconcile operational evidence.
This is the first screen this role sees.
OverviewRule Review Queue×
Rule Review Queue
Rule changes 2 · Independent Assurance Reviewer
| Status | Revision | Authority | Source publication | Effective from | Parent | |
|---|---|---|---|---|---|---|
| Submitted | 450 | State banking department | Consumer disclosure bulletin 2026-04 | 19 Oct | Incident reporting gap review | |
| Submitted | 740 | Consumer finance authority | Payments guidance note 2026-12 | 18 Oct | Data retention change, 2026 | |
| Submitted | 940 | Payments oversight board | Vendor oversight circular 2026-03 | 29 Oct | Client onboarding controls, Q3 2026 | |
| Submitted | 930 | Privacy commissioner | Retention rule update 2026-07 | 24 Oct | Payment controls review, Q4 2026 | |
| Submitted | 420 | Financial conduct office | Consent directive 2026-09 | 30 Oct | Payment controls review, Q4 2026 |
6 of 6 records
Control Owner
Prepare assigned operational records and execute eligible reviewed actions.
This is the first screen this role sees.
OverviewSubmitted Rule Changes×
Submitted Rule Changes
Rule changes 2 · Control Owner
Submitted3
State banking departmentStonefield Advisory
190
03 NovPayments oversight boardWillow Gate Capital
530
14 OctFinancial conduct officeHarbor Glen Financial
880
20 OctAdd
Approved3
Consumer finance authorityBlue Vale Services
870
16 OctPrivacy commissionerElm Quay Payments
960
13 OctNational data regulatorElm Quay Payments
130
19 OctAdd
App Administrator
Maintain organization configuration and membership.
This is the first screen this role sees.
OverviewActive Business Units×
Active Business Units
Business units 2 · App Administrator
| Name | Code | Active | Organization | Contact name | |
|---|---|---|---|---|---|
| Consumer lending | BU-LENDING | Yes | Elm Quay Payments | Imani Bello | |
| Payment operations | BU-PAYMENTS | Yes | Elm Quay Payments | Victor Salazar | |
| Vendor management | BU-VENDORS | Yes | Harbor Glen Financial | Hana Mori | |
| Records governance | BU-RECORDS | Yes | Willow Gate Capital | Leah Stein | |
| Digital marketing | BU-MARKETING | Yes | Stonefield Advisory | Arjun Mehta |
6 of 6 records
Auditor
Read authorized evidence and reports.
This is the first screen this role sees.
OverviewOperation Exceptions×
Operation Exceptions
Operation receipts 2 · Auditor
| Operation key | Action | Expected revision | Result state | Occurred at | Failure reason | |
|---|---|---|---|---|---|---|
| rule:disclosure:2026q4 | Register rule change | 380 | Failed | 27 Oct | Publication date missing | |
| review:payments:2026q4 | Start impact review | 50 | Needs review | 20 Oct | Control owner not assigned | |
| test:vendor:2026q3 | Assign control owner | 960 | Failed | 12 Oct | Evidence file unreadable | |
| action:retention:2026 | Record test result | 450 | Needs review | 18 Oct | Assessment period closed | |
| review:consent:2026q4 | Approve corrective action | 110 | Failed | 14 Oct | Retest result incomplete |
6 of 6 records
Admin
Oversee the app's operating setup and access to organization records.
- Manage Organizations2, business units2, team members2, Users2
- View Assessments2, rule changes2, operation receipts2
Reports
See workload and outcomes
Answer workload, test, finding and decision questions from operating records.
Overview×
Regulatory Change Management · Overview
Regulatory Change Management dashboard
This quarter
Corrective actions 2 in view
6Submitted
6Due at within 14 days
2Rule changes 2 by status
How far records got this quarter
| Stage | Reached | Step | |
|---|---|---|---|
| Draft | 24 | ||
| Submitted | 5 | 21% | |
| Approved | 1 | 20% | |
| Rejected | 1 | 100% |
Revision by status
Sample totals per stage
- 01Rule change status
Count rule changes by status, organization and effective date.
- 02Assessment workload
Compare assessment status, owner and review period.
- 03Control test results
Compare pending, passed, failed and inconclusive results with sample and exception counts.
- 04Finding severity
Group findings by severity, status and opened date.
- 05Corrective action due dates
List actions by owner, due date and status.
- 06Retest outcomes
Compare results by reviewer and tested date.
- 07Review decision history
Show each assessment's reviewer decisions, source revisions and reasons.
- 08Operation receipt exceptions
List failed or review-needed operations with their reasons and expected revisions.
Who it's for
Built around your operating scope
See how Regulatory Change Management fits your kind of team.
Multi-entity organizations
Keep rule and assessment work tied to the organization responsible for it.
Internal assurance teams
Review control evidence and remediation against a defined assessment period.
Compliance operations
Coordinate incoming rule publications, review decisions and implementation status.
Controls
Follow tests through correction
Each stage of review a rule change names the role that acts and the status it records, so a change is never anonymous.
OverviewReview a rule change×
Regulatory Change Management · Process
Review a rule change
Each stage, the role that acts and the status it records
Process stages
10Approval steps
1Roles involved
2Tables touched
0Submit rule change
Control OwnerStatusDraft → Submitted
Scope assessment
Control OwnerStatusDraft → Planned
Test controls
Control OwnerStatusPlanned → Testing
- StartControl OwnerSubmit rule changeDraft → Submitted
- StepControl OwnerScope assessmentDraft → Planned
- StepControl OwnerTest controlsPlanned → Testing
- ApprovalIndependent Assurance ReviewerReview revisionTesting → Review
- StepIndependent Assurance ReviewerRecord decisionSubmitted → Approved
AI agent
Ask about the recorded case
Use an assistant to navigate rule, assessment and evidence records.
It can
- Control Owner: Find submitted rule changes due soon and show their linked assessments and test results.
- Reviewer: Summarize the assessment evidence and source revision for a pending decision.
- Auditor: Trace a completed change through the recorded decision, any operation receipt and attached evidence.
- Administrator: Identify inactive business units or team members when preparing the next review cycle.
Stays with a person
- A person decides whether a revision should be approved, rejected or returned.
- The assistant can assemble the case and identify gaps in the recorded trail, but the Independent Assurance Reviewer makes the decision.
- A person also judges whether a retest result supports closing a finding.
- Check the underlying record before acting on a summary.
Show me submitted rule changes for my organization, their assessment owners, and any failed operation receipts. Open the source revision and evidence for the first case that needs review.
A person decides whether a revision should be approved, rejected or returned.
Data model
Your data, in tables you can change
Every record lives in a table you can see, extend and export. Add fields or whole tables in Proto.
Browse all 15 tables15tables
- Rule Changes5
- Assessments6
- Risks and Controls5
- Testing and Findings6
- Remediation and Retests6
- Review and Evidence6
Implementation
Roll out one team at a time
Start with one team and one process, then add the rest once the basics are running.
Set the operating scope
Choose the first organization and business unit, their team members and the rule publication source.
Prepare control context
Enter owned risks and controls with effective dates, then agree on test evidence conventions.
Rehearse an assessment
Create a period, plan tests, record a result and carry a finding into corrective work.
Rehearse review
Submit a rule change, ask an independent reviewer to decide on the revision and inspect any operation receipt.
Expand use
Add further organizations and business units after the team can explain a complete pilot case from its records.
Pricing
$0per user
The base account and everyday work in the ERP.AI app are free, for every user.
- No per-user or per-seat fees
- Viewing, editing, approving and exporting records in the app is free
- Pay only for machine work: API calls, imports, workflows and AI agents
- Prepaid credits from $5. Purchased credits never expire
Machine work rate card Included per $1 of credit
| Usage | Per $1 |
|---|---|
| Record reads (list, filter, get) | 20,000 |
| Search or aggregate queries | 4,000 |
| Record writes | 4,000 |
| Imported or synced records | 200,000 |
| Workflow runs | 2,000 |
| AI agent runs | 2,000 |
| Scheduled jobs or webhooks | 20,000 |
| File uploads (MB) | 2,000 |
| CSV or PDF exports | 100 |
How do I get started?
Click Get started, then use Proto to configure Regulatory Change Management for your business. Begin with one organization, one business unit and a representative rule change linked to an assessment.
Who prepares a rule change?
The Control Owner records the organization, source publication, authority, effective date and linked assessment, then submits the revision for review.
Who makes the approval decision?
The Independent Assurance Reviewer decides whether to approve, reject or return the examined revision. Check the assessment-linked decision record and its reason. If an operation receipt exists, compare its result with the decision before calling the action complete.
How is an assessment scoped?
Set its organization, business unit, owner, subject, period and scope statement. Link test lines to the controls being examined.
How do we handle a failed control test?
Record the result and evidence reference. Open a finding against the assessment and control, then assign corrective work and follow it through an independent retest.
Can a finding be retested?
Yes. A retest records its reviewer, test date, result and evidence against the finding. The team can compare that outcome with the original test and corrective action.
Where do files belong?
Attach evidence to the assessment with a title, type, upload date, uploader and internal or shared visibility. Test lines can also carry an evidence reference.
How do we see work awaiting review?
Use Assessments for Review for assessment records and Rule Review Queue for submitted rule changes. Operation Exceptions shows receipts that failed or need reconciliation.
How are several organizations handled?
Each change and assessment carries an organization link. Business units and team members are also assigned to organizations, keeping the operating scope clear.
What should we check before marking implementation complete?
Confirm the reviewed revision, decision reason, any operation receipt result and work performed. Then record completion on the rule change.
Set up Regulatory Change Management your way.
Start free, then use Proto to change fields, steps and approvals before your team goes live.