Send compliance reminders to regulated entities

Workflow purpose

This guide demonstrates how to use Proto's platform to send automated compliance reminders to regulated entities as deadlines approach, with escalating urgency the closer the deadline gets. Manually tracking hundreds of regulated entities against dozens of recurring deadlines doesn't scale, and a missed reminder often turns into a missed filing. This workflow checks the compliance tracking system on a schedule, tiers reminders by days remaining, and logs every reminder sent for audit purposes.

Who can benefit from this guide:

Central banks and financial regulators overseeing recurring filings
Compliance teams managing deadlines across a large regulated population
Regulators wanting a documented, consistent reminder trail
Operations teams reducing missed-filing escalations

Send a compliance reminder

This workflow checks outstanding filings against a schedule and sends tiered reminders as the deadline approaches, escalating overdue items to a compliance officer. See how to send compliance reminders to regulated entities.

Just starting with the platform?

For initial setup of your AI agent – including workspace setup, agent training, and channel deployment – please start here. This workflow guide assumes your AI agent is set up and ready for more advanced configurations.

1. Create a trigger

Purpose: Start one conversation per outstanding filing, rather than relying on someone to remember.

Confirm with your workspace admin which scheduled or system-event trigger your plan exposes for recurring, non-chat-initiated conversations – this workflow assumes a daily scheduled job outside the AI agent (e.g. a script calling Proto’s API) that starts one proactive conversation per outstanding filing, passing that filing’s entity, type, and days-remaining as opening variables.
Navigate to the Actions tab in the AI agent settings.
Click “+ Add Trigger” and select the trigger type your scheduled job calls into.
Name the trigger “Compliance reminder check”.

2. Send API request – confirm the filing is still outstanding

Purpose: Re-check the specific filing this conversation was started for, in case it was completed since the schedule last ran.

Add a Send API request action to your compliance tracking system, filtered by the entity and filing type passed in at trigger time. Map the response to filing_status and days_remaining.

3. Branch – tier by days remaining

Purpose: Match the tone and urgency of the reminder to how close the deadline actually is.

Add a Branch action.
Condition: filing_status == "outstanding" and days_remaining == 30 → early reminder tier.
Condition: filing_status == "outstanding" and days_remaining == 7 → urgent reminder tier.
Condition: filing_status == "outstanding" and days_remaining < 0 → overdue tier.
Condition: filing_status == "completed" → end the flow without sending a reminder.

4. Send the reminder

Purpose: Deliver a message the entity’s compliance team can act on immediately.

Add a Send message action for the early tier: “Reminder: {filing_type} is due in 30 days. No action needed yet if you’re on track.”
Add a Send message action for the urgent tier: “Urgent: {filing_type} is due in 7 days. Please confirm your submission status.”

5. Escalate overdue items

Purpose: Get a person involved once a deadline has actually passed.

Add an AI Agent Network handoff for the overdue tier, routing to the compliance officer’s AI agent with {entity_name}, {filing_type}, and {days_remaining} in the transferred context.

6. Log the reminder

Purpose: Keep an auditable record that the reminder was actually sent.

Add a Send API request action to log the reminder – entity, tier, and timestamp – back to the compliance tracking system.

7. Test the flow

Purpose: Confirm the tiering and escalation logic before relying on it for real deadlines.

Test with an item at exactly 30 days and confirm it sends the early tier message, not the urgent one.
Test with an overdue item and confirm the handoff fires with the correct entity details attached.
Test with a filing that was completed after the scheduled job started but before this conversation ran, and confirm it ends quietly rather than sending a stale reminder.
Test with an entity that has no messaging channel on file, and confirm the flow logs a failure rather than silently skipping it.

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