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Case IQ and Compliance Week surveyed 328 compliance officers about retaliation. See the results. Read the findings.

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Identify and Resolve Regulatory Compliance Issues Earlier

Regulatory issues come in all shapes and sizes: a potential violation to investigate, a conflict to disclose, a risk hiding in transaction data. Case IQ helps you capture and resolve each one faster, with AI-supported case management, complete audit trails, and the reporting to prove your compliance program works.

The Business Impact of Regulatory Non-Compliance

Regulatory compliance looks different in every industry, but non-compliance often shares the same culprits: inconsistent investigations and processes, poor data, delayed discovery, and reactive approaches. Non-compliance penalties are substantial: fines, negative press, internal turmoil, and risk that may compound.
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Fines and Penalties Follow Weak Responses
Regulators don't only weigh the issue itself. They weigh how the organization responded: how fast, how thoroughly, how consistently. A weak or undocumented response turns a manageable issue into an expensive one — in penalties, remediation mandates, and years of heightened scrutiny.
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Investigations That Can't Be Defended
When a regulatory issue is investigated through email threads and spreadsheets, there's no consistent process and no audit trail.
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Different Systems, Different Records
Compliance and legal teams often work on the same issues in parallel: one on the internal investigation, one on the regulatory response. When each team works in its own system, with its own audit trail and its own access controls, no single defensible record exists. The gaps show when it matters most.
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No Oversight Of The Compliance Program
Without one view of open issues, resolution timelines, and remediation status, compliance leaders can't see where the program stands. They also can't show leadership, auditors, or regulators that it's working. Every unanswered question reads as unmanaged risk.

How Case IQ Supports Regulatory Compliance

Case IQ gives compliance and legal teams a system for managing regulatory violations from intake to closure. Every action, decision, and remediation step is documented in a traceable case record.
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Capture and Resolve Regulatory Issues Earlier
Whatever form a regulatory issue takes – an employee report, a disclosed conflict, an external concern, it lands in a structured case file with an owner, a timeline, and a documented path to resolution.
  • Clairia AI drafts interview questions, flags documentation gaps, and generates case summaries
  • Whistleblower hotline reports flow directly into case management, no manual data entry needed
  • Cases assigned by type, location, or severity, with tracked status from day one
  • Track multiple allegations in one case, each with its own findings and corrective actions
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Prove Compliance with a Record That Holds Up
When auditors, outside counsel, or regulators review a matter, you produce documentation, not a reconstruction. Program-level reporting shows the rest: case volume, resolution timelines, and remediation completed.
  • Full audit trail: every action, assignment, document, and decision, timestamped
  • Consistent workflows so every issue is handled and documented the same way
  • Remediation tracked to closure and linked to the originating case
  • One-click reporting for leadership, audit committees, and regulator requests
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Detect Compliance Risk Before It Becomes a Violation
Case IQ's Compliance Monitoring solution analyzes expense, payment, and vendor transactions and flags anomalies that point to fraud, bribery, or corruption. Compliance teams see where risk is concentrated and act early, instead of waiting for a report.
  • AI risk-scoring across expenses, vendor payments, and employee spend
  • Model accuracy improves as your reviewers train it so false positives drop over time
  • Connects to the systems you already run, including SAP, Concur, and Oracle
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Make Conflict Disclosure Routine
Many regulatory issues start as something an employee should have disclosed. Case IQ's Approvals & Disclosures solution manages conflicts of interest, gifts, hospitality, donations, and anti-bribery approvals through workflows that route, screen, and document each one.
  • Conflict of interest disclosures routed, reviewed, and documented in a single workflow
  • Gifts, hospitality, and donations screened against your policies and limits
  • Complete disclosure history on hand for audits and regulator requests

How Regulatory Compliance Strengthens Your Organization

Addressing a regulatory issue rarely lies with one team. Case IQ gives compliance, legal, audit, and leadership the same connected record, so the work is coordinated, and the evidence is complete.
Compliance Teams
  • Manage every regulatory issue through one structured workflow that produces a defensible record instead of a pile of emails and spreadsheets.
  • Clairia AI speeds up documentation and summaries. Program reporting shows auditors the work was done, with specifics rather than generalities.
Legal & Audit Teams
  • Legal's response and compliance's investigation run from the same case record, with the same audit trail and the same access controls.
  • When a matter needs outside counsel review or turns into litigation, the complete record is retrievable and consistent.
Operations & Leadership
  • See open cases, resolution timelines, and remediation status across the organization. When the board asks how compliance issues are handled, point to data.
  • Organizations that can document a working program consistently fare better with regulators.
Success story

LifeScan

Medical Devices • Global
The Challenge

Following its divestiture from Johnson & Johnson, LifeScan needed a standalone compliance management system that could be deployed globally, support complex approval workflows, and manage HCP engagement requirements in a short timeframe.

The Solution

Case IQ implemented its Approvals & Disclosures platform in less than 90 days, providing multilingual workflows, automated screening, robust reporting, and configurable approval logic for global compliance operations.

The Results

<90

day deployment

13

languages supported

90+

countries use LifeScan’s new system

We found [Case IQ], which allows us to provide the application in 13 languages, use it in every country and manage HCP engagements, external funding, and much more. But most importantly, this was an off-the-shelf solution that we were able to implement quickly.
Testimonial Icon
Kate Kiesel, former Global Health Care Compliance Officer, LifeScan
Ready to Improve Your Regulatory Compliance?

Join 80,000+ compliance professionals who resolve regulatory issues faster, document every step, and prove compliance when it counts. See what Case IQ can do for your program.

Frequently Asked Questions

Everything you need to know about Case IQ
How does Case IQ help with regulatory compliance?

Case IQ gives compliance and legal teams a system for managing regulatory matters from intake to closure. Issues are handled in structured cases with AI support from Clairia, every action and decision is documented in a traceable record, remediation is tracked to completion, and program reporting shows leadership and auditors the work was done.

What types of regulatory compliance issues does Case IQ support?

Case IQ supports investigation and case management for anti-bribery and corruption, fraud and financial misconduct, sanctions concerns, conflicts of interest, ethics and code of conduct violations, and third-party issues. It's used across financial services, life sciences, healthcare, manufacturing, energy, government, and other industries; wherever regulatory issues need structured investigation and documented remediation.

Can Case IQ detect compliance risk before it becomes a violation?

Yes. Case IQ's Compliance Monitoring solution analyzes expenses, vendor payments, and healthcare professional spend, flagging anomalies that point to fraud, bribery, or corruption. Compliance teams see where risk is concentrated and investigate early. Model accuracy improves as reviewers train it, so false positives drop over time.

What makes a regulatory compliance investigation defensible?

A defensible investigation documents who was assigned, what evidence was gathered, which interviews were conducted, what was decided, and what remediation followed — all timestamped, in one record, produced by a consistent process. That's the record regulators and auditors ask for, and it's what Case IQ is built to produce.

How does Case IQ support DOJ compliance program expectations?

Case IQ supports the DOJ's Evaluation of Corporate Compliance Programs by helping teams investigate consistently, document thoroughly, and track remediation. It provides the audit trail and reporting needed to show the program actually worked. Case IQ customers have documented experience across 12 DOJ and SEC enforcement engagements.

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How does Case IQ keep compliance and legal coordinated on the same matter?

Both teams work from the same case record, with one audit trail and permission-controlled access. Task assignments, timelines, evidence, and remediation actions are visible to both functions, so the internal investigation and the regulatory response never drift into separate, inconsistent records.

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Does Case IQ track remediation after a compliance investigation?

Yes. Corrective actions, policy updates, and process changes are assigned and tracked to closure within the case, linked to the originating issue. The result is a traceable record connecting findings to the actions taken — evidence that the issue was resolved, not just closed.

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How does Case IQ handle conflict of interest disclosures?

Case IQ's Approvals & Disclosures manages conflict of interest disclosures, along with gifts, hospitality, donations, and anti-bribery approvals. Automated workflows route each disclosure for review, screen it against your policies, and document the outcome, producing a complete disclosure history for audits and regulator requests.

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Is Case IQ a GRC system or regulatory rules database?

No. Case IQ is not a GRC system, legal research engine, or regulatory rules database. It helps teams operationalize compliance through workflows, monitoring, investigations, remediation, and audit-ready documentation.

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How does Case IQ keep sensitive compliance matters secure?

Case IQ uses role-based access and granular permissions to control who can see each case. Sensitive matters stay within the assigned team, compliance and legal can share a record without over-exposing it, and redacted case summaries let you share findings without revealing sensitive detail.

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What industries use Case IQ for regulatory compliance?

Case IQ is used across financial services, life sciences, pharmaceuticals, healthcare, manufacturing, energy, government,  technology, and more. Regulated organizations use it to investigate issues, manage disclosures, monitor transaction risk, and demonstrate program effectiveness. Case IQ is trusted by 80,000+ compliance professionals worldwide.

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