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Upload a regulatory filing and watch as Affinda instantly predicts the compliance and financial fields you need, helping you automate regulatory filings processing in just a few clicks.
How to automate regulatory filings processing with Affinda's AI
- 1
Upload your regulatory filings, your way
Email, drag and drop or connect via API.
- 2
Watch as it extracts your regulatory filings data
Affinda's AI reads your regulatory filings with impressive contextual understanding. It splits and classifies documents, extracts and validates data, then transforms the output to match your business needs.
- 3
Automatically route the data to your systems
No manual data entry required. Affinda integrates seamlessly into your existing tech stack.
Extract any information from any document, fast
Affinda's AI reads, understands and extracts data from any regulatory filing or document 
Cleanse and transform data
Affinda automatically converts extracted regulatory filing data into the format your compliance, audit or financial systems recognize – ensuring it's ready for immediate use. Need something custom? Use natural language to describe how you want the data structured.
Apply business logic
Use natural language to write validation rules and apply your business logic to the data. This ensures the output meets your compliance requirements and enables straight-through regulatory filing processing.
Combine the best of artificial and human intelligence
1B+ documents processed
10+ years of IP combined with the latest AI innovations
800+ customers
95% reduction in manual processing achieved
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Watch as the platform predicts the information you want to extract, letting you build models in minutes, not months.Automating their document processes with AI
Frequently asked questions
What is regulatory filings processing?
Regulatory filings processing is the workflow organizations use to capture, extract, validate and structure data from compliance documents like SEC 10-K, 10-Q and FCA filings. Our AI regulatory filings processing software automates this entire process to reduce manual effort, minimize errors and accelerate compliance reporting. It ensures that financial data and disclosures are accurate, complete and properly integrated into audit and financial reporting systems.
What is regulatory filings data extraction?
Regulatory filings data extraction is the process of reading compliance documents and pulling key data points like filing type, company name, period, financials, disclosures and reference numbers. Affinda's AI automates this extraction, transforming complex, unstructured filings into clean, structured data that flows directly into your compliance, audit and financial reporting systems.
What is regulatory filings extraction?
Regulatory filings extraction is the automatic capture of key compliance and financial data from documents using AI. Our regulatory filings extraction software combines reading order models, OCR, LLMs, RAG and more to convert these complex filings into structured data with high accuracy and faster processing times.
What is a regulatory filings parser?
A regulatory filings parser is a software tool that automatically reads and extracts structured data from compliance documents. It converts multi-page filings, complex tables and grouped disclosures into machine-readable formats. Our AI regulatory filings parser adapts to your unique document formats, learning continuously to handle variations across different filing types and delivering outputs that integrate seamlessly with your systems.
What is regulatory filings line extraction?
Regulatory filings line extraction captures the detailed data within financial tables and disclosure sections, converting it into structured formats while preserving the relationships between each row and column. Our complex tables capability handles everything from simple grids to multi-level nested tables, ensuring that all financials, disclosures and reference data are accurately extracted and ready for integration.
What data fields can Affinda's AI regulatory filings processing software extract?
Affinda's AI regulatory filings processing software can extract data from any field across SEC 10-K, 10-Q, FCA filings and custom compliance documents. Standard data fields include:
Filing & Company Details
- Filing Type: Classification of the submission – 10-K annual report, 10-Q quarterly, 8-K current report, or agency-specific formats.
- Company Name / Registrant: Legal name of the filing entity as registered with the regulatory authority.
- CIK / Registration Number: Central Index Key or other unique identifiers assigned by the regulator.
- Fiscal Period / Year End: Reporting period covered and the company's fiscal year-end date.
- Filing Date / Acceptance Date: Date the document was submitted and officially accepted by the regulator.
- SIC Code / Industry Classification: Standard Industrial Classification or NAICS code identifying business sector.
Financial Data
- Revenue / Net Income: Top-line sales and bottom-line profit figures for the reporting period.
- Assets / Liabilities / Equity: Balance sheet components including total assets, obligations and shareholder equity.
- Cash Flows: Operating, investing and financing cash flow data from the statement of cash flows.
- Earnings Per Share (EPS): Basic and diluted per-share earnings figures.
- Financial Tables: Multi-level tables including footnotes, segment reporting and comparative period data.
Compliance & Disclosures
- Risk Factors: Material risks disclosed in narrative sections.
- Management Discussion & Analysis (MD&A): Key insights and explanations from management commentary.
- Legal Proceedings: Descriptions of ongoing or recent litigation.
- Related Party Transactions: Details of transactions with affiliated parties.
- Auditor Information: Name of auditing firm and audit opinions.
Administrative Fields
- Signatures: Names, titles and dates from signature pages.
- Exhibits / Attachments: References to supporting documents and exhibit numbers.
- Page Numbers / Document ID: Page indexing and unique filing identifiers.
- Contact Information: Addresses, phone numbers and email for the registrant or filing agent.
Need to capture custom disclosure sections or proprietary compliance fields? Define them in the platform or describe them in plain language – Affinda adapts to your requirements and extracts them automatically.
What file types does Affinda's AI regulatory filings processing solution support?
Our AI agents can process any file type. Supported file types include PDF, JPG/JPEG, PNG, TIFF, DOC/DOCX (Word), XLSX (Excel), HTML and TXT/CSV.
How does Affinda process regulatory filings and extract regulatory filing data?
Affinda's AI agents read, extract and validate regulatory filing data. Our platform integrates seamlessly with your existing systems. Simply:
- Upload your regulatory filings via drag-and-drop, email or API.
- Configure business logic to align with your compliance requirements and workflows.
- Let Affinda verify and validate extracted data against your business rules and compliance, audit and financial reporting systems to ensure accuracy.
- Access structured regulatory filing data directly within your systems.
The result? Faster, more accurate regulatory filings processing with minimal manual work.
Can Affinda extract data from scanned or image-based regulatory filings?
Yes. Our AI regulatory filings processing platform combines OCR with retrieval augmented generation (RAG), LLMs, agentic workflows, proprietary reading order algorithms and more, to automatically detect and process data from scanned or photographed invoices (PDF, JPG, PNG). Even low-quality images are automatically enhanced for reliable data capture and processing.
What language does Affinda's AI regulatory filings automation platform support?
Our AI regulatory filings processing platform can automatically detect and process regulatory filings in 50+ languages, including multilingual regulatory filings containing more than one language. Supported languages include: Afrikaans, Albanian, Amharic, Arabic (Standard, Egyptian, Sudanese, Algerian, Moroccan, Levantine), Bahasa Indonesian, Bengali, Bhojpuri, Bulgarian, Burmese, Chinese (Mandarin [PRC/Taiwan], Cantonese, Wu, Min Nan, Jinyu, Xiang, Hakka), Croatian, Czech, Danish, Dutch, English, Estonian, Finnish, French, German, Greek, Gujarati, Hebrew, Hindi, Hungarian, Italian, Japanese, Javanese, Kannada, Korean, Latvian, Lingala, Lithuanian, Macedonian, Malayalam, Marathi, Nepali, Norwegian, Odia, Persian (Farsi), Polish, Portuguese, Punjabi (Western and Eastern), Romanian, Russian, Slovak, Slovenian, Somali, Spanish, Swahili, Tagalog, Tamil, Telugu, Thai, Turkish, Ukrainian, Urdu, Vietnamese, Yoruba.
Does Affinda integrate with compliance, audit and financial reporting systems?
Yes. Our regulatory filings processing platform integrates with compliance, audit and financial reporting systems across the board. Connect to hundreds of downstream platforms using our no-code AI integrations agent, or build custom connections with our APIs – whatever fits your regulatory filings data extraction workflow best.
What are some examples of AI regulatory filings workflow automations?
AI regulatory filings processing automates and streamlines compliance workflows across multiple functions such as:
- Compliance Teams: Reduce filing-review times and improve accuracy by automatically extracting financial data, disclosures and reference numbers from 10-K, 10-Q and FCA filings. Business-rule validation flags filings that need attention, catching missing disclosures, period mismatches and incomplete signatures.
- Audit and Finance Teams: Feed structured filing data directly into your audit and financial reporting systems to improve reconciliation speed, reduce manual entry and enhance reporting accuracy across multiple filing periods.
- Legal and Risk Functions: Use self-learning AI that adapts to evolving regulatory formats, simplifying the extraction of risk factors, legal proceedings and related party transactions to support faster review and better risk visibility.
What is a regulatory filings OCR data extractor?
A regulatory filings optical character recognition (OCR) data extractor scans and accurately captures information from compliance documents, regardless of format or language. Upload regulatory filings in PDF, JPG or PNG formats. The OCR technology first converts the documents into a text layer, ensuring all text (even from scans, photos or printed forms) is captured. Affinda's AI models then identify and extract key fields such as filing type, company details, period, financials, disclosures, signatures and reference numbers, transforming them into structured, usable data.
This automation eliminates manual data entry, reduces errors and speeds up compliance reporting. Once the regulatory filing data is captured and structured, our AI regulatory filings processing pipeline can apply machine validation and post-processing to enable seamless integration with compliance, audit and financial reporting systems.
Organizations in financial services, legal and compliance rely on Affinda's AI for their regulatory reporting, audit preparation and disclosure management processes, streamlining workflows and improving overall accuracy.