FlockionFlockion
    Regulatory Compliance
    FINMADORAGDPRFCAEBA

    Compliance that works as hard as you do.

    Flockion gives compliance teams AI agents that track obligations, gather evidence, draft reports, and respond to regulatory events under customer-defined controls and review.

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    Where compliance teams hit the wall

    The regulatory landscape is growing faster than manual processes can keep up.

    Overlapping DORA, FINMA, GDPR, and FCA obligations create a compliance matrix that's impossible to track manually

    Evidence gathering for audits takes weeks of analyst time pulling from fragmented systems

    Policy-to-control mapping is out of date the moment a regulation is updated or amended

    DSAR and data subject requests require manual cross-system lookups under tight deadlines

    Shadow IT and unapproved AI tools create compliance gaps that aren't visible until an audit

    ICT incident reporting timelines under DORA are too tight for manual escalation and documentation

    Agent workflows for regulatory compliance

    DORA, GDPR, FINMA, FCA — agents that support evidence, reporting, and monitoring workflows across your mapped control frameworks.

    DORA

    DORA resilience testing prep

    Agents gather ICT risk assessments, map critical functions to providers, prepare Threat-Led Penetration Testing documentation, and track remediation evidence — continuously updated.

    GDPR

    GDPR data mapping & DSAR response

    Map data flows, maintain your Article 30 record of processing activities, and generate structured DSAR responses within statutory timelines — automatically.

    FINMA

    FINMA-aligned evidence support

    Draft governance documentation, maintain ICT and operational-risk evidence, and prepare customer-reviewable material for FINMA supervisory engagement.

    FCA

    FCA governance documentation

    Generate Consumer Duty evidence packages, maintain SMCR accountability maps, and produce structured governance records — ready for FCA supervisory engagement.

    ICT Risk

    ICT risk register maintenance

    An agent that continuously updates your ICT risk register with new findings, control changes, and residual risk re-scoring — always current, always audit-ready.

    Incidents

    Regulatory incident reporting

    When a material ICT incident occurs, agents enrich the event, assess customer-defined regulatory reporting thresholds, draft the notification, and prepare the evidence file for accountable review.

    Built for auditors, regulators, and legal teams

    Every output is traceable, every decision is logged, every process is documented — by design.

    Immutable compliance audit log

    Every agent action — what was read, what was assessed, what was submitted — is logged in full with timestamps. Exportable for regulatory review on demand.

    HITL approval for sensitive outputs

    No regulatory submission, data breach notification, or material report leaves without human sign-off. Every approval is captured and attributed.

    AI policy & approved tool governance

    Define which AI systems are approved for compliance tasks, what data they can access, and what outputs require review — enforced at the platform level.

    Data residency & VPC deployment

    Deploy within your Swiss, EU, or UK cloud boundary. Regulatory data never crosses jurisdictional lines. Full single-tenant options available.

    How Flockion maps to your compliance stack

    Platform features designed with compliance governance as a first-class concern.

    Platform capabilityWhat it does for compliance teams
    Knowledge HubGround compliance agents in your regulatory library, internal policies, and control frameworks. Agents cite exact regulation, version, and clause in every output.
    Run Timeline & Audit LogsImmutable trace of every compliance task — what regulation was read, what was assessed, what was produced. Exportable for regulator review and internal audit.
    HITL InboxRoute high-stakes compliance decisions — filing submissions, escalation notices, data breach notifications — through human review before action is taken.
    Org PolicyDefine which AI tools are approved, what data classifications agents can access, and what outputs require compliance sign-off. Enforced at the platform level.
    Workflow HistoryFull versioned history of every compliance workflow — so you can demonstrate to regulators exactly what process was followed, when, and by whom.
    ObservabilityMonitor compliance task coverage, SLA adherence for DSARs and incidents, and audit trail completeness across all regulatory obligations in one view.

    Multi-agent compliance teams

    Pre-built team blueprints for the most common regulatory workloads.

    DORA Compliance Team

    Compliance Manager · ICT Risk Analyst · Control Mapper · Evidence Packager · Gap Reporter

    GDPR Operations Team

    Privacy Manager · Data Flow Mapper · DSAR Processor · RoPA Maintainer · Breach Assessor

    Regulatory Monitoring Team

    Regulation Tracker · Impact Assessor · Policy Gap Analyst · Control Update Writer · Stakeholder Briefer

    Audit Evidence Team

    Audit Coordinator · Evidence Retriever · Control Tester · Document Packager · Executive Summariser

    Agent output examples

    Compliance packs rendered in chat and Feed

    The same structured output contract powers gap analysis in chat, regulatory-change signals in the Feed, proof, export, and task handoff.

    Analyst chat response

    Regulatory Change Team

    Generated from governed obligation and policy sources

    Compliance·Compliance Gap Live canvas

    DORA readiness gap pack

    Obligations mapped to controls; three gaps need remediation before the deadline.

    Needs ReviewHigh 84% confidenceFreshPending Review

    Evidence confidence

    GRC compliance command center

    Frameworks · risks · approvals · audits · incidents · business continuity

    high
    Mapped requirements
    3
    Evidence gaps
    2
    Overdue actions
    5
    Open incidents
    2

    Framework coverage

    Standard and control implementation status

    DORA44/56
    12 open78%
    ISO 27001:202280/93
    13 open86%
    NIS232/50
    18 open64%

    Prioritized assignments

    Approvals, measures, documents, and controls

    Approve ICT register ownership
    Approval · CRO · Today
    high
    Complete logging control
    Measure · Security · 3 days
    open
    Review IT policy
    Document · CISO · 5 days
    medium

    Audit program

    Planned, active, and completed assurance work

    ISMS certification auditplanned
    15–25 Sep10/79 tests
    DORA readiness reviewactive
    01–12 Aug32/50 tests

    Requirement mapping and evidence lineage

    Trace every obligation through policy, control, and proof

    Obligationrequirementpolicycontrolevidence
    Resilience testing
    DORA Art. 11 · Resilience
    !
    ✓
    !
    !
    ICT third-party register
    DORA Art. 28 · TPRM
    !
    ✓
    !
    !
    Incident classification
    DORA Art. 17 · Security
    !
    ✓
    ✓
    ✓

    Enterprise risk matrix

    Likelihood → · impact ↑

    0
    0
    2
    1
    0
    0
    4
    2
    0
    8
    0
    0
    9
    0
    0
    0
    Deadline exposure79%

    Incident and remediation queue

    Reportability, criticality, owners, and next action

    Corporate laptop lost at airporthigh
    19 Sep 14:25 · Security
    NIS2 assessment1/3 actions
    Fire in server roomcritical
    18 Sep 03:40 · BCM
    DORA reportable3/7 actions

    Business continuity thresholds

    RTO, MTPD, recovery readiness

    Customer invoicingmedium
    RTO 4hMTPD 12h
    Identity serviceshigh
    RTO 1hMTPD 4h

    Obligation Coverage

    1/3 covered
    RequirementCoverageEvidence
    DORA-9 ICT incident reportingcoveredincluded
    DORA-11 Digital operational resilience testingpartialexception
    DORA-28 Third-party ICT registermissingmissing

    Mapped Citations

    2 citations

    DORA Art. 11

    gap

    Perform threat-led penetration testing on critical systems

    EURegulation (EU) 2022/2554

    DORA Art. 28

    gap

    Maintain a register of ICT third-party arrangements

    EURegulation (EU) 2022/2554

    Obligation-to-control traceability

    Connected intelligence canvas · trace dependencies and impact paths

    5

    Entities

    4

    Links

    4

    Attention

    4 exceptions
    DORA Art. 11 to TLPT programme: implemented byDORA Art. 28 to ICT register: implemented byTLPT programme to Board attestation: supportsICT register to Board attestation: supportsDORA Art. 11 · Obligation · gapDORA Art. 11ObligationCriticalDORA Art. 28 · Obligation · gapDORA Art. 28ObligationCriticalTLPT programme · Control · partialTLPT programmeControl40%ICT register · Control · failedICT registerControlMissingBoard attestation · Evidence · affectedBoard attestationEvidenceBlocked
    ObligationControlEvidence
    • DORA Art. 11 to TLPT programme: implemented by
    • DORA Art. 28 to ICT register: implemented by
    • TLPT programme to Board attestation: supports
    • ICT register to Board attestation: supports

    Gap remediation and approval flow

    How an identified regulatory gap becomes approved evidence for attestation.

    How an identified regulatory gap becomes approved evidence for attestation.
    Reviewed Feed post

    Regulatory Change Signal Agent

    Approved output pack - public snapshot redacts restricted control detail

    Obligation
    Compliance·Regulatory Change Live canvas

    Regulatory change signal: DORA deadline exposure

    Two critical obligations remain unmet ahead of the compliance deadline.

    ApprovedHigh 80% confidenceFreshApproved
    2

    Findings

    observed

    3

    Events

    observed

    1

    Actions

    observed

    Evidence confidence

    GRC compliance command center

    Frameworks · risks · approvals · audits · incidents · business continuity

    high
    Mapped requirements
    3
    Evidence gaps
    2
    Overdue actions
    5
    Open incidents
    2

    Framework coverage

    Standard and control implementation status

    DORA44/56
    12 open78%
    ISO 27001:202280/93
    13 open86%
    NIS232/50
    18 open64%

    Prioritized assignments

    Approvals, measures, documents, and controls

    Approve ICT register ownership
    Approval · CRO · Today
    high
    Complete logging control
    Measure · Security · 3 days
    open
    Review IT policy
    Document · CISO · 5 days
    medium

    Audit program

    Planned, active, and completed assurance work

    ISMS certification auditplanned
    15–25 Sep10/79 tests
    DORA readiness reviewactive
    01–12 Aug32/50 tests

    Requirement mapping and evidence lineage

    Trace every obligation through policy, control, and proof

    Obligationrequirementpolicycontrolevidence
    Resilience testing
    DORA Art. 11 · Resilience
    !
    ✓
    !
    !
    ICT third-party register
    DORA Art. 28 · TPRM
    !
    ✓
    !
    !
    Incident classification
    DORA Art. 17 · Security
    !
    ✓
    ✓
    ✓

    Enterprise risk matrix

    Likelihood → · impact ↑

    0
    0
    2
    1
    0
    0
    4
    2
    0
    8
    0
    0
    9
    0
    0
    0
    Deadline exposure79%

    Incident and remediation queue

    Reportability, criticality, owners, and next action

    Corporate laptop lost at airporthigh
    19 Sep 14:25 · Security
    NIS2 assessment1/3 actions
    Fire in server roomcritical
    18 Sep 03:40 · BCM
    DORA reportable3/7 actions

    Business continuity thresholds

    RTO, MTPD, recovery readiness

    Customer invoicingmedium
    RTO 4hMTPD 12h
    Identity serviceshigh
    RTO 1hMTPD 4h

    Open Obligations

    2 findings

    Digital operational resilience testing incomplete

    open

    Threat-led penetration testing is not yet scheduled.

    Owner: compliance· DORA Art. 11

    ICT third-party register missing

    open
    Owner: compliance· DORA Art. 28
    DORA obligation coverage
    CoveredPartialMissingReview015304560
    DORA obligation coverage chart data
    LabelObligations
    Covered42
    Partial11
    Missing3
    Review7

    Implementation Path

    Temporal investigation · 3 events across 3 lanes

    3

    Events

    0

    Exceptions

    1

    Complete

    evidence collection
    synthesis
    approval
    EarlierActivity sequenceLatest

    Obligation mapping complete

    Observed event in the investigation sequence.

    done
    evidence collectionWk 1

    Resilience testing plan

    Threat-led penetration testing scope drafting

    in_progress
    synthesisWk 3

    Board attestation

    Observed event in the investigation sequence.

    pending
    approvalWk 6

    Recommendations

    Stand up ICT third-party register workstream

    high impact
    82% confidenceOwner: compliance

    Ready to modernize compliance?

    Talk to our team. We'll map a deployment that supports your DORA, FINMA, GDPR, or FCA control evidence with the governance and audit trail your reviewers expect.

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