Controls & Compliance Infrastructure
Controls
Sample · Read-onlyEnterprise control library mapping regulations to obligations, evidence and cases. Every control below is derived from the connected sample scenario graph — deterministic, read-only sample data — and links to its obligation, case, actions and evidence by sample id.
From regulation to evidence-backed action
This control library documents how ReguShield translates regulatory obligations into operating controls. Each control shows its regulatory basis, operating frequency, evidence coverage and the case it was raised on — so compliance teams can trace control effectiveness end to end.
Product Principle: ReguShield connects regulatory obligations to controls, evidence and operational decisions. We don't present dashboards — we deliver traceable compliance infrastructure.
AMLR
AMLRControl: AMLR High-Value Cross-Border Alert
Transaction volume exceeds EUR 10,000 threshold to high-risk jurisdiction. AMLR Article 19 reporting obligation triggered.
AMLR
AMLR
AMLR High-Value Cross-Border Alert
OBL-FIN-01
Per Case
Domain attribute — how often the control operates. Not a live-product claim.
- EVD-FIN-01 — Evidence: AMLR High-Value Cross-Border Alertpending
- ACT-FIN-01Initiate Enhanced Due Diligence under AMLR Article 19· pending
Control: CASP AML Monitoring Threshold Reached
Transfer velocity triggers AMLR periodic review for this institutional customer.
AMLR
AMLR
CASP AML Monitoring Threshold Reached
OBL-CRY-03
Annual / On Change
Domain attribute — how often the control operates. Not a live-product claim.
- EVD-CRY-03 — Evidence: CASP AML Monitoring Threshold Reachedcollected
- ACT-CRY-03Update CASP AML transaction monitoring threshold policy· pending
Control: AMLR Beneficial Ownership Reporting Gap
Illustrative: beneficial ownership records are maintained manually and are flagged for review against AMLR beneficial-ownership duties.
AMLR
AMLR
AMLR Beneficial Ownership Reporting Gap
OBL-ME-04
Quarterly
Domain attribute — how often the control operates. Not a live-product claim.
- EVD-ME-04 — Evidence: AMLR Beneficial Ownership Reporting Gapcollected
- ACT-ME-04Automate beneficial ownership reporting for AMLR· pending
AMLA 2027
AMLAControl: Source of Funds Verification Required
Illustrative sample rule: source of funds is unverified above this sample's EUR 50,000 review threshold. Documentation missing.
AMLA 2027
AMLA
Source of Funds Verification Required
OBL-FIN-02
Per Case
Domain attribute — how often the control operates. Not a live-product claim.
- EVD-FIN-02 — Evidence: Source of Funds Verification Requiredpending
- ACT-FIN-02File STR with national FIU without undue delay· pending
Control: AMLA 2027 CDD Controls Not EU-Ready
Illustrative: CDD workflows mapped to AMLA / AMLR are not yet localised for the EU. UK controls require review.
AMLA 2027
AMLA
AMLA 2027 CDD Controls Not EU-Ready
OBL-ME-02
Per Case
Domain attribute — how often the control operates. Not a live-product claim.
- EVD-ME-02 — Evidence: AMLA 2027 CDD Controls Not EU-Readypending
- ACT-ME-02Localise CDD controls for AMLA 2027 EU requirements· pending
Travel Rule
TRControl: Travel Rule Data Incomplete
Beneficiary IBAN and legal entity identifier not transmitted to receiving institution.
Travel Rule
TR
Travel Rule Data Incomplete
OBL-FIN-03
Quarterly
Domain attribute — how often the control operates. Not a live-product claim.
- EVD-FIN-03 — Evidence: Travel Rule Data Incompletecollected
- ACT-FIN-03Complete Travel Rule data transmission· pending
Control: Travel Rule Gap — 3 Unmatched Transfers
3 of 34 transfers missing originator data. Flagged for Travel Rule / EU TFR review (illustrative).
Travel Rule
TR
Travel Rule Gap — 3 Unmatched Transfers
OBL-CRY-02
Quarterly
Domain attribute — how often the control operates. Not a live-product claim.
- EVD-CRY-02 — Evidence: Travel Rule Gap — 3 Unmatched Transferscollected
- ACT-CRY-02Obtain missing Travel Rule originator data for 3 transfers· pending
DORA
DORAControl: DORA ICT Incident Log Gap
Monitoring alert not captured in DORA-required ICT incident register. Register update needed.
DORA
DORA
DORA ICT Incident Log Gap
OBL-FIN-04
Annual / On Change
Domain attribute — how often the control operates. Not a live-product claim.
- EVD-FIN-04 — Evidence: DORA ICT Incident Log Gapcollected
- ACT-FIN-04Update DORA ICT incident register· pending
Control: DORA ICT Risk — AI Vendor Contract Gap
AI model vendor contract missing DORA-required ICT concentration risk and exit strategy clauses.
DORA
DORA
DORA ICT Risk — AI Vendor Contract Gap
OBL-AI-04
Quarterly
Domain attribute — how often the control operates. Not a live-product claim.
- EVD-AI-04 — Evidence: DORA ICT Risk — AI Vendor Contract Gapcollected
- ACT-AI-04Update AI vendor contract with DORA ICT clauses· pending
Control: DORA ICT Framework Gap
DORA Article 5 ICT risk management framework must be in place before EU licence approval. Current UK framework not equivalent.
DORA
DORA
DORA ICT Framework Gap
OBL-ME-01
Per Case
Domain attribute — how often the control operates. Not a live-product claim.
- EVD-ME-01 — Evidence: DORA ICT Framework Gappending
- ACT-ME-01Implement DORA-compliant ICT risk management framework· pending
MiCA
MiCAControl: MiCA Reserve Reconciliation Required
EUR-stablecoin reserve movement flagged for reserve reconciliation and disclosure review (illustrative MiCA mapping — confirm the applicable title with counsel).
MiCA
MiCA
MiCA Reserve Reconciliation Required
OBL-CRY-01
Quarterly
Domain attribute — how often the control operates. Not a live-product claim.
- EVD-CRY-01 — Evidence: MiCA Reserve Reconciliation Requiredcollected
- ACT-CRY-01Complete reserve reconciliation report (illustrative MiCA mapping)· pending
EU AI Act
AI-ACTControl: High-Risk AI System — Conformity Assessment Missing
AI Act Article 43 requires conformity assessment before deployment of Annex III systems. System currently in production without certification.
EU AI Act
AI-ACT
High-Risk AI System — Conformity Assessment Missing
OBL-AI-01
Continuous / Per Case
Domain attribute — how often the control operates. Not a live-product claim.
- EVD-AI-01 — Evidence: High-Risk AI System — Conformity Assessment Missingpending
- ACT-AI-01Commission AI Act conformity assessment (Annex III)· pending
Control: FRIA Not Completed
Fundamental Rights Impact Assessment required under AI Act Article 27 for credit decisioning. Assessment absent.
EU AI Act
AI-ACT
FRIA Not Completed
OBL-AI-02
Per Case
Domain attribute — how often the control operates. Not a live-product claim.
- EVD-AI-02 — Evidence: FRIA Not Completedpending
- ACT-AI-02Complete Fundamental Rights Impact Assessment (FRIA)· pending
Control: Human Oversight Controls Inadequate
AI Act Article 14 requires documented human override capability. Current system lacks override audit trail.
EU AI Act
AI-ACT
Human Oversight Controls Inadequate
OBL-AI-03
Per Case
Domain attribute — how often the control operates. Not a live-product claim.
- EVD-AI-03 — Evidence: Human Oversight Controls Inadequatepending
- ACT-AI-03Implement human oversight audit trail for model decisions· pending
AMLD6
AMLD6Control: AMLD6 Corporate Liability Policy Missing
AMLD6 criminal liability provisions for legal persons not reflected in company compliance policy.
AMLD6
AMLD6
AMLD6 Corporate Liability Policy Missing
OBL-ME-03
Quarterly
Domain attribute — how often the control operates. Not a live-product claim.
- EVD-ME-03 — Evidence: AMLD6 Corporate Liability Policy Missingcollected
- ACT-ME-03Update corporate liability policy for AMLD6 compliance· pending