Legal & Compliance AI prompts

Prompts for understanding and organising legal and compliance material: summarising a clause, preparing questions for counsel, drafting a policy outline, or building a checklist. They are not legal advice; have a qualified professional review anything you rely on.

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128 Legal & Compliance prompts

Analyze why a compliance breach happened and prevent repeatsAnalyzes a breach or incident to separate people, process, system, and governance causes and recommend fixes that prevent repeats.
Answer a customer's security questionnaire accuratelyDrafts honest, consistent answers to a security due-diligence questionnaire from your actual controls, flagging gaps.
Appeal an Amazon seller suspension with a plan of actionA factual root-cause, corrective-action, and prevention appeal for a suspended Amazon account or listing, plus a pre-submission checklist.
Assess a conflict of interest disclosure and recommend safeguardsEvaluates an employee's conflict of interest disclosure against policy and recommends whether to approve, mitigate, or decline it.
Assess a patent or invention against prior artA structured first-pass analysis of what a patent or invention claims, how it compares with known prior art, and questions for a patent attorney.
Assess a possible HIPAA breach and decide on notificationsWalks through the four-factor breach risk assessment, documents the decision, and drafts the notifications required if it is a reportable breach.
Assess a vendor's due diligence responses for third-party riskReviews a vendor's questionnaire answers and evidence, flags gaps and red flags, and recommends a risk rating and contract conditions.
Assess our security against a framework and find the gapsMaps your current controls to CIS Controls or NIST CSF, scores maturity, and builds a prioritized improvement roadmap.
Assess subrecipient risk and plan grant monitoringA risk assessment and monitoring plan for organizations you pass grant funds to, scaled to their risk and aligned to your award terms.
Assess the impact of a regulatory changeWhat a new rule requires, who it affects, and what must change.
Audit HR files and processes for compliance gapsCreates a tailored HR compliance audit checklist and prioritizes the gaps you find by risk.
Audit my law firm's marketing for attorney advertising rule risksReviews ads, web pages, emails, and social posts against lawyer advertising and solicitation rules and gives compliant rewrites.
Build a compliance checklist and control mapMaps obligations to controls, gaps, owners, and remediation.
Build a conflict-of-interest search list for a new matterTurns intake details into a complete list of names to run through conflicts, plus the questions an attorney must resolve before opening the file.
Build a contract negotiation playbook with fallback positionsCreates a clause-by-clause playbook with preferred, fallback, and walk-away positions so business teams and junior lawyers negotiate consistently.
Build a risk-based annual internal audit planScores the audit universe on risk factors and turns it into a prioritized annual plan that fits my team's capacity.
Build a SOC 2 readiness plan for my startupA gap assessment and phased plan to get SOC 2 Type I and then Type II without over-engineering.
Build an allergen matrix and safe ordering procedure for my menuA dish-by-allergen chart plus front-of-house and kitchen steps to prevent cross-contact and answer guest questions correctly.
Check auditor independence before accepting a new attest clientA structured independence and threats-and-safeguards review for a CPA firm before taking on an audit, review, or other attest engagement.
Check licenses, permits, and insurance for a local service businessA checklist of the registrations, permits, and insurance to research before you take your first local job.
Check my AI workflow for privacy and data-protection risksMaps the personal and confidential data in an AI-assisted process and flags privacy and compliance risks to fix before launch.
Check my dietary supplement labels and marketing for FDA compliance risksFlags disease claims, missing disclaimers, and labeling gaps in supplement packaging and ads under US FDA and FTC rules.
Check my marketing copy for claims that need proof or disclosureA pre-publication review that flags risky claims, testimonials, and missing disclosures in marketing copy.
Check my sale prices and discount claims for deceptive pricing riskReviews compare-at prices, percent-off claims, countdowns, and free offers for deceptive pricing risk, with safer wording.
Check whether a security incident is a reportable breachWorks through the facts of an incident against notification rules and deadlines so you know what to raise with counsel.
Check whether my side hustle conflicts with my day jobSpots contract clauses, IP risks, and conflicts of interest to resolve before you start earning on the side.
Cite-check a draft brief and list every citation to verifyExtracts every citation and quotation from a draft, checks format and internal consistency, and builds a verification table for the team.
Compare clauses across contract versionsSide-by-side comparison of what changed between drafts and why it matters.
Create a due diligence request list for a dealBuilds a tailored, prioritized document request list for an acquisition, investment, or partnership, organized by workstream.
Design test steps for a control and pick a sample sizeBuilds a test of design and operating effectiveness for one control, with sample size, attributes to check, and exception handling.
Document a best-interest recommendation for a client fileA clear record of why a recommended investment or account suits the client's profile, costs, and reasonably available alternatives.
Document security deposit deductions after a move-out inspectionAn itemized, defensible deposit disposition letter that separates damage from normal wear and tear and meets deadlines.
Draft a bookkeeping or accounting engagement letterDrafts a clear engagement letter that defines scope, exclusions, client responsibilities, and fees to prevent scope creep.
Draft a constitution or bylaws for a club or community associationA clear governing document covering membership, officers, meetings, voting, money, disputes, and amendments, ready for member review.
Draft a contract amendment that changes only what we agreedProduces a clean amendment that references the original agreement precisely, changes the agreed terms, and leaves everything else intact.
Draft a contract from a term sheetA first-pass commercial contract built from agreed terms, for lawyer review.
Draft a data protection impact assessment (DPIA)A DPIA draft for a new system or process handling personal data.
Draft a gift acceptance policy for non-cash giftsA board-ready policy defining which gifts you accept, who decides, and how to handle stock, real estate, crypto, and in-kind donations.
Draft a litigation hold notice employees will actually followWrites a clear preservation notice telling custodians exactly what to keep, where it lives, and what not to do.
Draft a policy for a supported living or care serviceA structured policy for a supported living or home care provider that maps to the regulations and standards that apply.
Draft a response to a regulator's information requestPlans and drafts an accurate, well-organized response to a regulator's request or exam finding, with an evidence index and review checklist.
Draft a risk appetite statement leadership can useWrites a risk appetite statement with a qualitative stance and measurable limits for each risk category, ready for leadership review.
Draft an engagement letter with a clear scope of representationAn engagement letter that defines exactly what the firm will and will not do, the fee terms, and client responsibilities, written in plain English.
Draft an ethics (IRB) application for research with peoplePrepares the core sections of an ethics or IRB application, including risks, consent, data protection, and plain-language participant materials.
Draft an uptime SLA with service credits for my SaaS productA customer-facing service level agreement with a measurable uptime target, exclusions, credit table, and claim process.
Draft board resolutions or a written consentDrafts recitals and resolutions for a board or shareholder approval, with authorizations, conditions, and a checklist of supporting steps.
Draft legal correspondenceStandard legal letters and responses in the right tone and structure.
Edit a company or stock write-up so it isn't investment adviceA compliance edit of a market report or company analysis that strips recommendations, certainty, and promotional tone, with a log of every change.
Evaluate a settlement offer with a simple decision treeCompares a settlement offer to the expected value of continuing, including costs, timing, and non-money factors, to support a recommendation.
Evaluate how severe a control deficiency isWorks through likelihood, magnitude, and compensating controls to classify a deficiency and document a defensible conclusion.
Explain the reasons for a credit denial in an adverse action noticeClear, specific, compliant principal-reason statements for a declined or counter-offered credit application.
Explain to customers how my product's AI features use their dataA clear, accurate AI data-use FAQ and trust page section that answers what procurement and security teams actually ask.
Extract key terms from contracts into a trackerPulls renewal dates, notice periods, caps, and other key terms from each contract into consistent rows for a contract register.
Extract shareholder and ownership details from company documentsStructured shareholder data from registers or registry extracts, with totals checks, ownership-threshold flags, and follow-up questions.
Flag defamation and privacy risks in an article before publishingA pre-publication read that highlights risky statements about people or companies, why they are risky, and safer edits to discuss with a lawyer.
Get my site ready for a customer or regulatory inspectionA readiness checklist, evidence list, and walk-through plan so an upcoming audit or inspection goes smoothly.
Handle a data subject access request from start to finishGives a step-by-step plan, search checklist, exemption review, and response letter for responding to a personal data access request on time.
Map the steps to apply for a business license or regulatory permitA step-by-step application roadmap with the regulator, documents, eligibility checks, likely costs, and timeline to confirm.
Plan data breach notifications and draft the noticesAssesses risk of harm from a personal data breach, maps who must be told and by when, and drafts regulator and individual notices.
Plan the response to a public records or FOIA requestA search plan, exemption review, fee estimate, and response letter for a public records request, built around your statutory deadlines.
Prepare a deposition outline for a witnessBuilds a topic-by-topic examination outline with goals, questions, exhibits, and admissions to lock in.
Prepare a hearing prep sheet with likely judge questionsCondenses a motion or hearing into a one-page argument map, the toughest likely questions, and short answers.
Prepare a signature pack with a summary of what's being signedA cover sheet that tells my executive what each document is, what they're committing to, and what to check before signing.
Prepare an import shipment so it clears customs without delaysA document checklist, candidate tariff classification reasoning, and broker questions so an import clears without delays or penalties.
Prepare my data room and understand my term sheet basicsA due-diligence data room checklist plus a plain-language guide to key terms and questions for your lawyer.
Prepare my trucking company for a DOT compliance auditA gap checklist and document plan covering driver files, hours of service, maintenance, drug and alcohol testing, and insurance before an audit.
Prepare to choose a business structure with my advisorCompares sole proprietorship, partnership, LLC, and corporation for your situation and lists the questions to settle with a professional.
Respond to a patient's request for their medical recordsA compliant workflow and response for a records request, covering identity checks, the 30-day clock, form and format, fees, and allowed denials.
Respond to a shipper's cargo loss or damage claimAssesses a freight claim against liability rules and contract terms, then drafts a clear acceptance, partial offer, or denial.
Respond to a student records request under FERPAWorks out whether to release student records, what to redact, what to log, and drafts the response letter.
Review a business associate agreement before signingChecks a vendor BAA against HIPAA required terms and flags weak breach reporting, subcontractor, and data return clauses before you sign.
Review a client's contractor agreement for freelancer risksA plain-English review of a client contract that flags clauses on IP, payment, liability, and non-competes that commonly hurt freelancers.
Review a contract and flag risky clausesA risk-ranked issues list, suggested redlines, and questions before you sign.
Review a customer's redlines to my SaaS subscription agreementA clause-by-clause read of an enterprise customer's markup with risk ratings, fallback positions, and reply language.
Review a data processing agreement against GDPR Article 28Checks a vendor DPA for the mandatory processor terms, transfer safeguards, and security commitments, and suggests redlines for gaps.
Review a design services contract for professional liability risksA clause-by-clause risk review of a client contract for an architecture or engineering firm, with suggested redlines and insurability flags.
Review a gift, hospitality, or sponsorship request for bribery riskChecks a proposed gift, entertainment, or sponsorship against anti-bribery policy and red flags, and drafts the approval decision.
Review a new product or initiative for compliance risks before launchRuns a pre-launch compliance review of a new product, market, or process change and lists requirements, gaps, and launch conditions.
Review a nonprofit Form 990 draft before filingA pre-filing review that catches inconsistencies, governance red flags, and public-facing issues in a nonprofit's annual IRS return.
Review a subcontract for risky construction clausesA clause-by-clause review of a subcontract flagging pay-if-paid, indemnity, delay, and flow-down risks, with negotiation asks.
Review a vendor's SOC report and map complementary controlsReviews a service provider's SOC 1 or SOC 2 report for scope, exceptions, and the controls my organization must operate itself.
Review documents for due diligence red flagsA due diligence document review with red flags and follow-up questions.
Review driver hours-of-service logs for violations and fatigue riskFinds hours-of-service violations, risky patterns, and dispatch causes in driver logs, with coaching and process fixes.
Review marketing material for compliance issues before it goes outChecks ads, web copy, or sales collateral for misleading claims, missing disclosures, and regulated wording, with suggested fixes.
Review my hiring process for bias and compliance risksA review of job ads, screening, interviews, and decisions for bias and common legal risks, with practical fixes.
Review open-source licenses in our software for compliance riskSorts dependencies by license type, flags copyleft and distribution triggers, and lists the notices and actions engineering must take.
Review outside counsel invoices against our billing guidelinesChecks law firm bills for guideline breaches, block billing, staffing issues, and budget overruns, and drafts questions for the firm.
Rewrite a compliance policy so employees can actually follow itTurns a dense compliance policy into clear rules, decision points, and examples, with a mapping so no requirement is lost.
Run a fraud risk assessment for a business processBrainstorms realistic fraud schemes for a process, assesses them against existing controls, and recommends prevention and detection fixes.
Run a HIPAA security risk assessment for a small practiceA structured security risk analysis covering where ePHI lives, threats, likelihood and impact ratings, and a documented remediation plan.
Run a preliminary trademark check on a proposed brand nameAssesses a proposed name for distinctiveness and obvious conflict risks and gives a search plan before formal clearance.
Run a user access review and flag risky permissionsCompares who has access against job need and flags excess rights, orphaned accounts, and segregation-of-duties conflicts.
Screen where my business may owe sales taxMaps sales by state against economic and physical nexus factors and lists the questions to resolve with a tax advisor.
Set up OSHA safety recordkeeping and compliance trackingA practical system for OSHA logs, training records, inspections, and incident investigations, with owners, schedules, and tools that fit your size.
Summarize a case or regulationSummarizes case law or regulations with holdings, reasoning, and implications.
Summarize a contract and its obligations in plain EnglishWhat you've agreed to: obligations, dates, money, and risks — for non-lawyers.
Track lien deadlines and preliminary notices to protect paymentA job-by-job tracker of notice and lien dates, plus a plain-English checklist so I do not lose my right to get paid.
Track usage rights for talent, music, and stock in a campaignA rights register showing what every asset is licensed for, where and until when, plus renewal alerts and gaps to clear before launch.
Triage a whistleblower or hotline reportAssesses a hotline report for urgency, allegation type, and conflicts, then sets out next steps that protect the reporter.
Triage an incoming NDA: sign, redline, or escalateChecks a counterparty NDA against your standard positions and gives a fast sign, redline, or escalate call with suggested edits.
Turn a process walkthrough into a narrative with key controlsConverts walkthrough interview notes into a clear process narrative, a step list, and the key controls and gaps at each step.
Understand a legal problem and prepare to talk to a lawyerOrganizes your facts, explains the general landscape, and prepares questions for a lawyer — without giving legal advice.
Understand a tax notice and plan the responseExplains what a tax authority letter is asking for, the deadline, and the response options, and drafts a response outline.
Understand when I could be personally liable for my company's debtsA plain-English explanation of limited liability, when courts or laws can reach owners and directors personally, and how to reduce the risk.
Update a privacy notice and records of processingAligns your privacy notice and processing records with what you actually do with data.
Validate that an audit issue is really fixed before closing itSets out the evidence and tests needed to confirm remediation is effective and sustained, so issues are not closed on paper only.
Vet a new carrier for fraud and double brokering before tenderingA carrier onboarding check covering authority, insurance, safety, identity, and fraud red flags, with a clear approve or reject call.
Write a board paper or governance briefingA board paper with context, options, recommendation, and resolution wording.
Write a clear disposition note for an AML or sanctions alertDrafts a well-reasoned alert or case disposition that documents what was reviewed, why, and the decision, ready for QA.
Write a compliance investigation report from my notesTurns interview notes and evidence into a structured, neutral investigation report with findings tied to the standard of proof.
Write a document review protocol for discovery reviewersCreates coding guidelines, issue tags, and privilege rules so a review team codes documents consistently.
Write a HACCP food safety plan for a kitchen processA HACCP plan for one menu process with hazards, critical control points, limits, monitoring, and corrective actions.
Write a language access plan for my agencyA plan to serve residents with limited English proficiency, based on who you serve, what you provide, and what your obligations require.
Write a legal research memoAn issue–rule–analysis–conclusion memo on a legal question.
Write a machine-specific lockout/tagout procedureA step-by-step energy control procedure for one machine, listing every energy source, isolation point, and verification step.
Write a non-engagement letter declining a prospective clientA courteous letter that clearly declines representation, warns about deadlines without giving advice, and protects the firm from implied-relationship claims.
Write a responsible alcohol service policy with refusal scriptsA house policy for serving alcohol safely, checking IDs, refusing service, and documenting incidents.
Write a student conduct decision letter that follows due processDrafts a clear, fair discipline decision letter with findings, policy basis, sanction, and appeal rights.
Write a suspicious activity report (SAR) narrativeA clear, chronological SAR narrative that answers who, what, when, where, why, and how, ready for compliance review.
Write an acceptable use policy employees will readDrafts a plain-language IT acceptable use policy covering devices, accounts, data, AI tools, and monitoring.
Write an audit finding management will understand and act onTurns my testing notes into a finding with condition, criteria, cause, effect, and a practical recommendation, rated by risk.
Write an enhanced due diligence memo for a high-risk customerA documented EDD assessment covering ownership, source of wealth, expected activity, risk rating, and an onboard or exit recommendation.
Write an insurance claim denial or reservation of rights letterA clear coverage-position letter for an insurance claim that quotes the policy, explains the decision, and preserves rights.
Write consistent tenant screening criteria that follow fair housingA written rental application and screening policy applied the same way to every applicant, with adverse action steps.
Write margin comments explaining my redlines to the other sideTurns your contract markup into short, persuasive comments that explain each change and keep the negotiation moving.
Write privilege log descriptions that hold up to challengeDrafts consistent privilege log entries that describe each withheld document enough to justify the claim without revealing the advice.
Write the quarterly report to the audit or risk committeeProduces a concise committee report covering plan progress, key findings, overdue actions, and the matters that need their attention.
Write up quality system audit findings against ISO 9001 or IATF 16949Clear, evidence-based audit findings with clause references, graded nonconformities, and a summary for management review.

Legal & Compliance AI prompts

128 Legal & Compliance prompts

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