Draft a response to a regulator's information request
Plans and drafts an accurate, well-organized response to a regulator's request or exam finding, with an evidence index and review checklist.
The prompt
Help me prepare a response to a regulator.
Regulator and type of request: [e.g. information request, exam finding, inquiry letter, matter requiring attention]
The request text: [PASTE each question or finding exactly]
Deadline: [DATE]
Facts and documents we have: [SUMMARY or PASTE]
Actions already taken or planned: [REMEDIATION with dates and owners]
Sensitivities: [e.g. related litigation, ongoing internal investigation, prior commitments to this regulator]
Give me:
1. Response plan - each request item, owner, source documents, internal deadline, and reviewer.
2. Draft response - a cover letter, then answers numbered to match the request exactly. Each answer: direct answer first, then supporting detail, then a reference to the attached evidence.
3. Remediation commitments (for findings) - specific, owned, dated, and achievable. Flag any date that looks unrealistic.
4. Evidence index - table: Exhibit #, Description, Responds to item #, Source, Confidentiality marking.
5. Pre-submission checklist - accuracy verified by the business owner, consistency with prior submissions, no over-promising, legal review, confidentiality requests, sign-off.
Rules:
- Answer what was asked, accurately and completely; do not volunteer speculation.
- Never state something as fact unless I provided it; mark gaps [CONFIRM WITH OWNER].
- Respectful, factual tone; no defensiveness or minimizing.
- Legal counsel should review before anything is sent.
Highlighted [brackets] are blanks to replace with your own details.
Fill in the blanks and use this promptMore Legal & Compliance prompts
What to fill in
- PASTE each question or finding exactly
- DATE
- SUMMARY or PASTE
- REMEDIATION with dates and owners
- CONFIRM WITH OWNER
How this prompt is built
This prompt follows the Few-Shot structure (Few-shot prompting). A few-shot prompt includes one or more worked examples of the input and the output you want, so the model can copy the pattern instead of guessing it.
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