Regulatory InquiriesManage regulatory requests, exams, and supervisory interactions — with structured workflows, centralized documentation, and full visibility into response status.
Product Overview
Respond to Regulators with Structure, Speed, and ConfidenceRegulatory Inquiries is the process of managing requests, examinations, and ongoing interactions with regulators and supervisory bodies. SmartSuite’s Regulatory Inquiries software provides a structured, scalable system to manage regulatory engagements — ensuring timely responses, consistent documentation, and audit-ready traceability.SmartSuite enables organizations to capture regulatory requests, assign ownership, and coordinate responses across teams and departments. With a centralized system of record, teams can track inquiries, manage supporting documentation, and monitor response progress in a way that is repeatable, auditable, and defensible.The product supports a wide range of regulatory interactions, including formal exams, ad hoc inquiries, supervisory requests, and ongoing regulatory communications — all managed within a unified workflow.SmartSuite delivers real-time visibility into inquiry status and response progress, enabling organizations to meet deadlines, avoid missed obligations, and maintain strong relationships with regulators. This improves responsiveness and reduces regulatory risk.As part of SmartSuite’s connected GRC architecture, Regulatory Inquiries extends beyond simple request tracking.Inquiry data is continuously connected to:Compliance assessments and regulatory obligationsPolicy management and governance frameworksControl frameworks and audit activitiesIssues and remediation workflowsEnterprise and operational risk activitiesThis ensures that regulatory interactions are managed as part of a connected, continuously evolving compliance and governance ecosystem.The product supports a wide range of regulatory use cases, including:Regulatory exams and supervisory reviewsAd hoc regulatory inquiries and requestsDocumentation and evidence managementRegulatory response coordination and trackingThe result is a Regulatory Inquiries program that is:Structured and defensible for regulators and auditorsEfficient and coordinated across teams and departmentsTransparent and accountable for compliance and leadership teams.
What is Regulatory Inquiries Management?Regulatory Inquiries Management is the process of managing requests, exams, and interactions with regulators. It enables organizations to coordinate responses, track documentation, and maintain visibility into regulatory obligations and communication.
Core Capabilities
SmartSuite’s Regulatory Inquiries product provides the capabilities required to manage regulatory interactions end-to-end — combining structured workflows, documentation management, and real-time visibility in a unified platform. Each capability integrates with other SmartSuite products, ensuring alignment across compliance, risk, audit, and operational workflows.
Inquiry Intake & TrackingCapture regulatory requests and track status, deadlines, and ownership across teams.
Response Workflow ManagementCoordinate responses with structured workflows, assignments, and approvals.
Document & Evidence ManagementCollect, organize, and manage supporting documentation with full traceability.
Deadline & Escalation TrackingMonitor deadlines and trigger alerts or escalations to ensure timely responses.
Regulatory Interaction HistoryMaintain a complete history of inquiries, responses, and communications.
Dashboards & Inquiry AnalyticsVisualize inquiry status, response timelines, and workload across teams.
Workflow AutomationAutomate assignments, reminders, and approvals for regulatory response processes.
Cross-Product IntegrationLink inquiries to controls, policies, risks, issues, and audit workflows.
Role-Based Access ControlEnsure secure access to sensitive regulatory data across teams and stakeholders.
The Risk Lifecycle
The Regulatory Inquiry LifecycleSmartSuite supports the full regulatory inquiry lifecycle — from intake through response and closure — with connected workflows and real-time visibility.
Receive InquiryCapture regulatory requests and define scope, requirements, and deadlines.
Assign & CoordinateAssign ownership and coordinate response activities across teams.
Collect DocumentationGather required evidence, documents, and supporting materials.
Review & Approve ResponseValidate completeness and accuracy before submission.
Submit & Track OutcomeSubmit responses and track follow-ups or additional requests.
Connected Risk EcosystemSmartSuite products operate as part of a unified GRC platform — ensuring regulatory inquiries are continuously connected to compliance, risk, and governance workflows.The Regulatory Inquiries product integrates seamlessly with related products to provide a complete view of regulatory interactions and obligations.
Who This Product Is For
The Regulatory Inquiries product supports stakeholders across compliance, legal, risk, and audit — enabling structured and efficient regulatory engagement.
Frequently Asked Questions
Answers to common questions about SmartSuite’s pricing models, plan options, and onboarding programs.
Build Trust and Control in Your AI SystemsSmartSuite delivers a complete GRC suite that connects AI governance with risk, compliance, and operational workflows.