Orbit Platform Documentation
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Documentation
  • Welcome
  • 1. Introduction
    • 1.1 Orbit Platform Overview
    • 1.2 Key Features
    • 1.3 Target Audience
    • 1.4 Benefits of Using Orbit Platform
    • 1.5 Overview of this Documentation
  • 2. Quick Start
    • 2.1 Accessing Orbit Platform
    • 2.2 Navigating the User Interface
    • 2.3 Basic User Cases
      • 2.3.1 Conducting a Semantic Search
      • 2.3.2 Copilot Chat
      • 2.3.3 Browsing and Using Pre-Defined Bots
    • 2.4 Exploring the Bot Marketplace
    • 2.5 Understanding SaaS Features and Limitations
  • 3. Platform Overview
    • 3.1 Overview of Orbit Platform
    • 3.2 Orbit AI Studio
      • 3.2.1 Data Loaders
      • 3.2.2 Metadata Management
      • 3.2.3 PDF Pre-Processing
      • 3.2.4 LLM Integration
      • 3.2.5 Workflow Automation
    • 3.3 Custom Knowledge Base Creation
    • 3.4 Chat and Search Capabilities
    • 3.5 Bot Marketplace
      • 3.5.1 Overview of the Bot Marketplace
      • 3.5.2 Creating and Managing Bots
      • 3.5.3 Automating Manual Tasks with Bots
  • 3.6 Data Connectors
  • 4. User Guide
    • 4.1 General User Interface
      • 4.1.1 Portfolio Management
      • 4.1.2 Concept Management
      • 4.1.3 Share
    • 4.2 Semantic Search and Chat
    • 4.3 Features on Single Document
    • 4.4 Create Your Knowledge Base
  • 5. Orbit Knowledge Bases
    • 5.1 Introduction
  • 5.2 Global Exchange Filings
  • 5.3 China Earnings Transcripts
  • 5.4 Global Sustainability Reports
  • 5.5 Global Regulation Documents
  • 5.6 Global Earnings Transcripts
  • 5.7 Listed Companies Official Documents
  • 5.8 Private Companies Official Documents
  • 5.9 Google News
  • 5.10 China Bond Documents
  • 6. Off-the-Shelf Bots
    • 6.1 Data Transformer
    • 6.2 Filings Insight Extractor
    • 6.3 Portfolio News Tracker
    • 6.4 Summary Composer
    • 6.5 Financial Statement Navigator
    • 6.6 Earning Call Calendar
    • 6.7 News Flow Tracker
  • 6.8 SmartMonitor Bot
  • 7. Pricing
    • 7.1 Product Options
    • 7.2 SaaS Pricing Structure
  • 7.3 Product Selection Guide
  • 8. Enterprise Deployment
    • 8.1 Deployment Options
    • 8.2 Security and Compliance
    • 8.3 Scaling and Performance
    • 8.4 Integration with Existing Systems
  • 9. Use Cases and Examples
    • 9.1 Investment Research Use Cases
      • 9.1.1 Generate a Research Report with Copilot Chat
      • 9.1.2 Analyse Investment Themes from Annual Reports
    • 9.2 Sustainability Use Cases
      • 9.2.1 Generate an ESG Report with Copilot Chat
      • 9.2.2 Orbit vs Claude vs Perplexity
    • 9.3 Service Provider Use Cases
    • 9.4 Case Studies: Success Stories
  • 10. FAQ and Troubleshooting
    • 10.1 Common Questions
    • 10.2 Contacting Support
  • 11. Appendices
    • 11.1 Glossary of Terms
    • 11.2 Whitepapers
      • Advancing News Analytics for Financial Decision Making
    • 11.3 Release Notes
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  • 1. The Importance of Analyzing Legal Documents
  • 2. Coverage of Major Financial Regulators

5.5 Global Regulation Documents

In the financial services industry, compliance with regulatory frameworks is not just a legal requirement but also a critical aspect of risk management and strategic decision-making. Financial institutions and investors must continuously monitor and analyze legal documents from global regulators to ensure that their operations align with the latest regulatory standards. This analysis is crucial for understanding potential impacts on business practices, staying ahead of regulatory changes, and mitigating legal and financial risks.

1. The Importance of Analyzing Legal Documents

Legal documents from global regulators provide essential guidance on financial practices, compliance requirements, and the overall regulatory landscape. For financial services firms, analyzing these documents is key to:

  • Ensuring Compliance: Regulatory documents outline the rules and standards that financial institutions must follow. Analyzing these documents helps firms maintain compliance, avoiding penalties and reputational damage.

  • Risk Management: Understanding the regulatory environment allows firms to anticipate changes that could affect their operations, helping them to mitigate potential risks proactively.

  • Strategic Planning: By staying informed about regulatory trends and requirements, firms can make strategic decisions that align with future regulatory expectations, ensuring long-term business sustainability.

2. Coverage of Major Financial Regulators

Orbit Insight provides comprehensive access to documents from key financial regulators across major global markets. This ensures that users have the information they need to stay compliant and make informed decisions based on the latest regulatory developments. Below is a short list of the primary financial regulators covered in the UK, EU, and US we cover so far:

United Kingdom (UK)

  • Financial Conduct Authority (FCA): The FCA regulates the conduct of financial firms to ensure markets work well for consumers, businesses, and the economy as a whole.

  • Prudential Regulation Authority (PRA): Part of the Bank of England, the PRA supervises and regulates banks, insurance companies, and major investment firms to promote the safety and soundness of these institutions.

  • Bank of England (BoE): The central bank of the UK, responsible for maintaining monetary stability and overseeing financial stability.

European Union (EU)

  • European Central Bank (ECB): The ECB manages the euro and frames and implements EU economic and monetary policy.

  • European Securities and Markets Authority (ESMA): ESMA enhances investor protection and promotes stable and orderly financial markets within the EU.

  • European Banking Authority (EBA): The EBA ensures effective and consistent prudential regulation and supervision across the European banking sector.

  • European Insurance and Occupational Pensions Authority (EIOPA): EIOPA supports the stability of the financial system and the protection of policyholders, pension scheme members, and beneficiaries.

United States (US)

  • Securities and Exchange Commission (SEC): The SEC enforces federal securities laws, proposes securities rules, and regulates the securities industry, the nation’s stock and options exchanges.

  • Federal Reserve Board (FRB): The FRB oversees the US monetary system and regulates banks to ensure financial stability and consumer protection.

  • Commodity Futures Trading Commission (CFTC): The CFTC regulates the US derivatives markets, including futures, options, and swaps.

  • Office of the Comptroller of the Currency (OCC): The OCC regulates and supervises all national banks and federal savings associations.

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Last updated 9 months ago