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Fiduciary & Governance

Compliance Monitoring

Continuous compliance surveillance across HIPAA, ERISA, ACA, and state insurance regulations with real-time alerting and automated audit trail generation.

Category
Compliance & Risk
Use Case
Regulatory Monitoring
Output
Compliance Dashboard

Monitoring Framework

ERISA Compliance

404(a)(5) participant disclosures, 408(b)(2) fee transparency, Form 5500 filing requirements

HIPAA/Privacy

PHI access controls, breach notification timelines, business associate agreements

ACA Requirements

MEC/MV standards, employer mandate compliance, 1095-C reporting accuracy

State Regulations

Insurance code compliance, state-specific mandates, licensure requirements

Key Applications

Real-Time Alerts

Automated notifications when compliance thresholds are breached or deadlines approach

Audit Trail Generation

Comprehensive documentation of all compliance monitoring activities for regulators

Policy Change Tracking

Monitor impact of regulatory changes on plan operations and participant communications

Board Reporting

Executive summaries of compliance posture with risk scoring and remediation recommendations

Activate Compliance Monitoring

Get continuous regulatory surveillance with automated alerting

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