# US 12,762,247 B1 · Systems and methods for interconnected compliance platform > Agents: this data is available as JSON from the patentgrep API and MCP server — see https://patentgrep.com/llms.txt - Number: US 12,762,247 B1 - Document ID: US12762247B1 - Status: Granted - Kind: B1 - Application number: 18/115,513 - Filed: 2023-02-28 - Granted: 2026-10-13 - Earliest claimed: 2022-03-01 - Assignees: RiskStack Inc. - Applicants: RiskStack Inc. - Inventors: Rohan Kohli; Sooah Shin - Web page: https://patentgrep.com/patent/US12762247B1 ## CPC - G06F 21/577: {Assessing vulnerabilities and evaluating computer system security} - G06F: ELECTRIC DIGITAL DATA PROCESSING (computer systems based on specific computational models G06N) ## Abstract Systems and methods for an interconnected regulatory compliance platform are provided. A method includes receiving assessments and tags for various regulations, assigning controls to the regulations, applying the controls and regulations to organizations, aggregating unique assessments for each organization, and providing an assessment drill down graphical user interface (GUI) to a client device. ## Claims ### Claim 1 A compliance computing system comprising: one or more processing circuits comprising one or more memory devices coupled to one or more processors, the one or more memory devices configured to store instructions thereon that, when executed by the one or more processors, cause the one or more processors to: acquire regulatory information available through one or more databases of one or more regulatory entities; acquire organization information regarding an organization associated with the compliance computing system, the organization information including (a) location of operations for the organization and (b) a type of industry associated with the organization or a type of product or service offered by the organization; identify rules that are relevant to the organization by evaluating the regulatory information in view of the organization information; determine a regulatory risk assessment associated with each of the rules for the organization; generate a rules inventory graphical user interface for display on a user device of a user associated with the organization, the rules inventory graphical user interface providing a listing of the rules; provide a visual indication on the rules inventory graphical user interface for each of the rules indicating the regulatory risk assessment associated with each of the rules for the organization; generate one or more tags corresponding to one or more of the identified rules by: maintaining a frequency threshold for terms; based on one or more terms in the one or more of the identified rules exceeding the frequency threshold, generating the one or more tags for the one or more of the identified rules associated with the one or more terms; and assigning the one or more tags to the one or more of the identified rules; and dynamically update the listing of the rules in response to an addition of a new rule to the rules or a change to an existing rule of the rules by the one or more regulatory entities, wherein the listing of the rules is dynamically updated by: identifying a tag associated with the new rule or the existing rule; retrieving one or more other rules associated with at least one tag matching the identified tag; and updating the one or more other rules by modifying one or more stored attributes associated with the one or more other rules based on the new rule or the change to the existing rule. ### Claim 2 (depends on 1) The compliance computing system of claim 1, wherein the one or more memory devices are further configured to store instructions thereon that, when executed by the one or more processors, cause the one or more processors to generate a notification for the user indicating the new rule or the change to the existing rule. ### Claim 3 (depends on 1) The compliance computing system of claim 1, wherein the one or more memory devices are further configured to store instructions thereon that, when executed by the one or more processors, cause the one or more processors to assign compliance controls to the rules, the compliance controls configured to attempt to ensure compliance with the rules by the organization. ### Claim 4 (depends on 3) The compliance computing system of claim 3, wherein the one or more memory devices are further configured to store instructions thereon that, when executed by the one or more processors, cause the one or more processors to: facilitate generation of task assignments by the user to members of the organization to implement the compliance controls; and notify the members of the task assignments. ### Claim 5 (depends on 4) The compliance computing system of claim 4, wherein the one or more memory devices are further configured to store instructions thereon that, when executed by the one or more processors, cause the one or more processors to generate a control library graphical user interface for display on the user device, the control library graphical user interface providing a library of the compliance controls with an indication of which of the members of the organization are assigned to each of the compliance controls. ### Claim 6 (depends on 3) The compliance computing system of claim 3, wherein the rules inventory graphical user interface provides an option to manually link a respective compliance control to a respective rule. ### Claim 7 (depends on 1) The compliance computing system of claim 1, wherein the one or more memory devices are further configured to store instructions thereon that, when executed by the one or more processors, cause the one or more processors to: generate a relative risk indicator associated with each of the rules for the organization based on the regulatory risk assessment, wherein the relative risk indicator is assigned a different indicator based on the relative risk associated with each of the rules; and provide a visual indication on the rules inventory graphical user interface of the relative risk indicator. ### Claim 8 (depends on 7) The compliance computing system of claim 7, wherein the relative risk indicator is assigned a color based on the relative risk associated with each of the rules, wherein the relative risk indicator associated with less than a first level of regulatory risk is assigned a first color, wherein the relative risk indicator associated with greater than the first level of regulatory risk but less than a second level of regulatory risk is assigned a second color different from the first color, and wherein the relative risk indicator associated with greater than the second level of regulatory risk is assigned a third color different from the first color and the second color. ### Claim 9 A method comprising: acquiring, by a processing circuit, regulatory information available through one or more databases of one or more regulatory entities; acquiring, by the processing circuit, organization information regarding an organization associated with a compliance computing system, the organization information including (a) location of operations for the organization and (b) a type of industry associated with the organization or a type of product or service offered by the organization; identifying, by the processing circuit, rules that are relevant to the organization by evaluating the regulatory information in view of the organization information; determining, by the processing circuit, a regulatory risk assessment associated with each of the rules for the organization; generating, by the processing circuit, a rules inventory graphical user interface for display on a user device of a user associated with the organization, the rules inventory graphical user interface providing a listing of the rules; providing, by the processing circuit, a visual indication on the rules inventory graphical user interface for each of the rules indicating the regulatory risk assessment associated with each of the rules for the organization; generating, by the processing circuit, one or more tags corresponding to one or more of the identified rules by: maintaining a frequency threshold for terms; based on one or more terms in the one or more of the identified rules exceeding the frequency threshold, generating the one or more tags for the one or more of the identified rules associated with the one or more terms; and assigning the one or more tags to the one or more of the identified rules; and dynamically updating, by the processing circuit, the listing of the rules in response to an addition of a new rule to the rules or a change to an existing rule of the rules by the one or more regulatory entities, wherein the listing of the rules is dynamically updated by: identifying a tag associated with the new rule or the existing rule; retrieving one or more other rules associated with at least one tag matching the identified tag; and updating the one or more other rules by modifying one or more stored attributes associated with the one or more other rules based on the new rule or the change to the existing rule. ### Claim 10 (depends on 9) The method of claim 9, further comprising generating, by the processing circuit, a notification indicating the new rule or the change to the existing rule. ### Claim 11 (depends on 9) The method of claim 9, further comprising assigning, by the processing circuit, compliance controls to the rules, the compliance controls configured to attempt to ensure compliance with the rules by the organization. ### Claim 12 (depends on 11) The method of claim 11, further comprising: notifying, by the processing circuit, members of the organization to implement the compliance controls. ### Claim 13 (depends on 12) The method of claim 12, further comprising generating, by the processing circuit, a control library graphical user interface for display on the user device, the control library graphical user interface providing a library of the compliance controls with an indication of which of the members of the organization are assigned to each of the compliance controls. ### Claim 14 (depends on 11) The method of claim 11, wherein the rules inventory graphical user interface provides an option to link a respective compliance control to a respective rule. ### Claim 15 A non-transitory computer-readable medium having computer-executable instructions included therein that, when executed by one or more processors, cause the one or more processors to perform operations comprising: acquiring regulatory information available through one or more databases of one or more regulatory entities; acquiring organization information regarding an organization associated with a compliance computing system, the organization information including (a) location of operations for the organization and (b) a type of industry associated with the organization or a type of product or service offered by the organization; identifying rules that are relevant to the organization by evaluating the regulatory information in view of the organization information; determining a regulatory risk assessment associated with each of the rules for the organization; generating a rules inventory graphical user interface for display on a user device of a user associated with the organization, the rules inventory graphical user interface providing a listing of the rules; providing a visual indication on the rules inventory graphical user interface for each of the rules indicating the regulatory risk assessment associated with each of the rules for the organization; generating one or more tags corresponding to one or more of the identified rules by: maintaining a frequency threshold for terms; based on one or more terms in the one or more of the identified rules exceeding the frequency threshold, generating the one or more tags for the one or more of the identified rules associated with the one or more terms; and assigning the one or more tags to the one or more of the identified rules; and dynamically updating the listing of the rules in response to an addition of a new rule to the rules or a change to an existing rule of the rules by the one or more regulatory entities, wherein the listing of the rules is dynamically updated by: identifying a tag associated with the new rule or the existing rule; retrieving one or more other rules associated with at least one tag matching the identified tag; and updating the one or more other rules by modifying one or more stored attributes associated with the one or more other rules based on the new rule or the change to the existing rule. ### Claim 16 (depends on 15) The non-transitory computer-readable medium of claim 15, wherein the instructions when executed by the one or more processors further cause operations comprising generating a notification for the user indicating the new rule or the change to the existing rule. ### Claim 17 (depends on 15) The non-transitory computer-readable medium of claim 15, wherein the instructions when executed by the one or more processors further cause operations comprising assigning compliance controls to the rules, the compliance controls configured to attempt to ensure compliance with the rules by the organization. ### Claim 18 (depends on 17) The non-transitory computer-readable medium of claim 17, wherein the instructions when executed by the one or more processors further cause operations comprising: notifying members of the organization of task assignments to implement the compliance controls; and generating a control library graphical user interface for display on the user device, the control library graphical user interface providing a library of the compliance controls with an indication of which of the members of the organization are assigned to each of the compliance controls.