COMPLY reads Form SD filings, extracts 13 compliance-critical fields, and scores every disclosure against deterministic governance rules — producing auditable decisions in seconds, not hours.
Most compliance tools collect supplier surveys. COMPLY evaluates the actual public disclosure. Our LLM extraction layer reads the full narrative of every Form SD filing and outputs 13 structured compliance fields. A deterministic governance engine then checks every field against SEC Rule 17 CFR 240.13p-1 and OECD Due Diligence Guidance — producing an auditable, reproducible decision with full violation logs.
GPT-4o extracts RCOI approach, smelter disclosure, survey volume, surveyed spend, conformant SOR requirements, and more — validated by Pydantic schema on every run.
11 governance rules (GOV-16 through GOV-26) apply consistent, auditable logic. No probabilistic judgment. Every result is explainable, reproducible, and logged.
ML-powered trajectory classification using linear regression. Classifies each company as IMPROVING, STABLE, DECLINING, or VOLATILE with 2026 forecast scores.
Ask natural language questions about any company's filing history, rule violations, or industry benchmarks. Powered by Claude with full portfolio context.
Programmatic retrieval from SEC EDGAR by CIK. Supports HTML and PDF Form SD filings and attached Conflict Minerals Reports.
Converts mixed-format regulatory filings into clean structured text. Handles tables, narrative sections, exhibits, and appendices.
GPT-4o extracts 13 compliance fields as validated JSON. Pydantic schema ensures type-safe, reproducible outputs on every run.
11 deterministic rules check every field. No probabilistic judgment. Every pass and fail is auditable, explainable, and logged.
Real results from 57 U.S. public companies across aerospace, defense, automotive, electronics, medical, and industrial sectors — 2021 through 2025.
267 of 284 filings never disclose how much of their supply chain spend is covered by supplier surveys — making program breadth impossible to assess.
Over half of companies do not require suppliers to source from RMAP-audited smelters — the single highest-value supply chain control under OECD guidance.
Only 10 of 284 filings passed all warning-level governance rules. RTX 2021 is the only filing in the entire dataset to pass all 11 rules.
Honeywell sends approximately 4,000 supplier surveys per year versus L3Harris at 669 — both in aerospace and defense. Same sector, dramatically different scale.
RTX 2021 is the gold standard benchmark — the only filing to pass all 11 rules. Discloses $11B surveyed spend across 1,340 suppliers.
All 57 companies use a risk-based Reasonable Country of Origin Inquiry approach — universal compliance with SEC best practice on this dimension.
Every field extracted from every filing is checked against these rules. Critical rules trigger HIGH RISK. Warning rules trigger FLAGGED. Info rules are logged.
| Rule | Name | Severity | What It Checks |
|---|---|---|---|
| GOV-16 | Segment Identified | INFO | Company industry segment is identifiable for peer benchmarking. |
| GOV-17 | RCOI Approach Defined | WARNING | Filing describes a risk-based Reasonable Country of Origin Inquiry methodology. |
| GOV-18 | Supplier Selection — Spend | INFO | Supplier survey targeting is based on spend thresholds or criteria. |
| GOV-19 | Supplier Selection — 3TG | WARNING | Selection criteria factor in the likelihood that suppliers use tin, tantalum, tungsten, or gold. |
| GOV-20 | Industry Memberships | INFO | Filing references memberships in RMI, RBA, AIA, AIAG, OECD, or RMAP frameworks. |
| GOV-21 | Survey Volume Disclosed | WARNING | Number of supplier surveys distributed is disclosed. Silence may indicate no active program. |
| GOV-22 | Surveyed Spend Disclosed | INFO | Dollar value of supply chain spend covered by surveys is disclosed. Fires in 94% of filings. |
| GOV-23 | Conformant SOR Requirement | WARNING | Company explicitly requires suppliers to source from RMAP-conformant smelters and refiners. |
| GOV-24 | Continuous Improvement | WARNING | Filing describes specific improvement actions. Static programs indicate compliance stagnation. |
| GOV-25 | RCOI Conducted | CRITICAL | Company confirms it conducted an RCOI. Absence is a material violation of SEC Rule 13p-1. |
| GOV-26 | Survey Response Rate | WARNING | Percentage of supplier surveys returned is disclosed. Measures program effectiveness. |
Start with a single analyst seat. Scale to enterprise-wide deployment with full corpus access and API integration.
For individual compliance analysts and researchers reviewing company filings.
For compliance teams managing multi-company portfolios and ESG reporting.
For audit firms, ESG agencies, and large organizations with complex portfolios.
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