LegalFab Compliance Capabilities

Version: 1.3 Last Updated: February 2026

Compliance Framework

LegalFab maintains compliance with applicable regulations and industry standards.

Applicable Regulations

Regulation Relevance Status
GDPR Personal data processing Compliant
CCPA/CPRA California privacy rights Compliant
SOC 2 Type II Security and availability Aligned
Legal Industry Standards Legal data handling Aligned
MLR 2017 Money Laundering Regulations (UK) Aligned
FCA SYSC FCA Systems and Controls Aligned

Note: For detailed AML-specific compliance controls including rule engine, BPM workflows, and screening services, see 08-AML-Compliance.

Data Protection

Data Protection

GDPR Compliance

Requirement Implementation
Lawful Basis Consent management, purpose limitation
Data Subject Rights Data discovery, access requests, deletion support
Data Protection Encryption, pseudonymization, access controls
Breach Notification Audit logs support investigation and notification
Cross-Border Transfer Data residency controls

CCPA/CPRA Compliance

Requirement Implementation
Right to Know Data discovery and lineage
Right to Delete Deletion tracking through lineage
Right to Opt-Out Classification of data sharing
Non-Discrimination Access controls

Data Subject Rights

Right Process Response Time
Access Automated data export 30 days
Rectification Data update workflow 30 days
Erasure Deletion with verification 30 days
Portability Standard format export 30 days
Objection Processing review 30 days

SOC 2 Alignment

Trust Service Criteria

Criteria Controls
Security Access controls, encryption, monitoring
Availability Redundancy, disaster recovery, SLA monitoring
Processing Integrity Input validation, quality monitoring, lineage
Confidentiality Classification, encryption, access restrictions
Privacy Consent management, data subject rights support

AI Governance

EU AI Act Alignment

Requirement Implementation
Risk Classification AI uses assessed as limited/minimal risk
Transparency Users informed when interacting with AI
Human Oversight Human-in-the-loop for high-impact decisions
Documentation Technical documentation maintained

Responsible AI Principles

Principle Implementation
Fairness Bias detection and monitoring
Transparency AI involvement disclosure
Accountability Audit trails, clear ownership
Privacy Data minimization

Audit Logging

Audit Requirements

Requirement Implementation
Completeness All security-relevant events logged
Integrity Tamper-evident storage
Confidentiality Encrypted at rest
Availability Redundant storage
Retention Configurable per regulation

Log Retention

Log Type Retention Period Storage
Authentication Events 1 year Immutable storage
Authorization Events 1 year Immutable storage
Data Access Events 1 year Immutable storage
Configuration Changes 2 years Immutable storage
Security Incidents 2 years Immutable storage
AML Compliance Events 7 years Immutable storage
SAR/STR Filings 7 years Immutable storage
Rule Execution Logs 5 years Immutable storage

Note: AML-related audit logs follow extended regulatory retention requirements per MLR 2017 and FCA guidelines.

LegalFab manages legal hold and retention policies through metadata-level tagging in the Knowledge Fabric, enabling centralized policy management without modifying source system data.

Retention Policy Framework

Component Description
Metadata Tagging Sensitive data tagged and classified at metadata level
Policy Definitions Custom retention policies defined per data classification
Lineage Propagation Sensitivity tags propagate through data lineage
Execution Agents Dedicated agents execute retention actions
Capability Implementation
Hold Application Apply legal hold to specific matters, entities, or document sets
Hold Propagation Holds automatically apply to related records via lineage
Suspension of Deletion Prevent deletion of held records regardless of retention policy
Hold Release Controlled release process with approval workflow
Hold Audit Complete audit trail of hold application and release

Retention Policy Types

Policy Type Description Example
Time-Based Retain for specified duration 7 years from creation
Event-Based Retain until event occurs Until matter closure + 3 years
Regulatory Compliance-driven retention Per MLR 2017 requirements
Privileged Extended retention for legal privilege Attorney-client materials
Investigation Extended during active investigations Until investigation closure

Metadata-Based Policy Enforcement

Policies trigger based on metadata tags without requiring changes to source systems:

Tag Type Policy Action Example
PII Classification Apply privacy retention rules Delete after purpose fulfilled
Legal Privilege Extended retention, restricted access 10+ years, attorney access only
Investigation Related Hold during investigation Suspend deletion
Regulatory Document Compliance retention period 7 years per regulation
Expired Retention Review and disposition workflow Flag for review at expiry

GDPR Data Subject Rights Integration

Right Implementation
Right to Erasure Identify all instances via metadata tags across sources
Data Minimization Track and enforce minimum necessary data
Subject Access Locate all data related to subject via unified view
Portability Export subject data from unified Knowledge Fabric view

Retention Execution

Action Process
Archiving Move to cold storage per policy
Anonymization Remove identifying information while preserving analytics
Deletion Secure deletion with verification
Review Queue Flag records for human review at retention expiry

Retention Audit Trail

Event Logged Data Retention
Policy Application Record ID, policy applied, timestamp Policy retention + 2 years
Legal Hold Applied Matter, records, hold reason, applier Permanent
Legal Hold Released Matter, records, release reason, approver Permanent
Retention Action Action type, record ID, executor Policy retention + 2 years
Policy Override Override reason, approver, duration Permanent

Third-Party Risk Management

Vendor Assessment

Assessment Area Requirements
Security Certifications SOC 2 Type II or equivalent
Vulnerability Management Documented patch management
Data Handling Encryption and access controls
Incident Response Notification commitments
Business Continuity Availability commitments

Contractual Requirements

Requirement Purpose
Data Use Restrictions Prevent unauthorized data use
Confidentiality Protect customer data
Security Standards Minimum security requirements
Breach Notification Timely incident notification
Audit Rights Right to review attestations

Policy Framework

Security Policies

Policy Coverage
Information Security Policy Overall security program
Access Control Policy Authentication and authorization
Data Classification Policy Data handling requirements
Acceptable Use Policy Appropriate system usage
Incident Response Policy Incident handling procedures

Policy Management

Activity Frequency
Policy Review Annual
Policy Update As needed
Policy Communication On hire and annual
Compliance Verification Continuous

Data Residency

Control Description
Regional Deployment Platform deployable in specific regions
Data Locality Metadata stored in designated regions
Cross-Border Controls Transfer restrictions per policy
Sovereignty Compliance National data protection requirements

Compliance Reporting

Industry Standards

Available Reports

Report Content Frequency
Security Assessment Control effectiveness Annual
Compliance Status Regulatory alignment Quarterly
Audit Findings Issues and remediation As needed
Incident Summary Security incidents Quarterly

Audit Support

Support Type Description
Documentation Security policies and procedures
Evidence Control implementation evidence
Access Auditor access to systems (read-only)
Personnel Subject matter expert availability