/compliance-check -- Compliance Review
> If you see unfamiliar placeholders or need to check which tools are connected, see [CONNECTORS.md](../../CONNECTORS.md).
Run a compliance check on a proposed action, product feature, marketing campaign, or business initiative.
Important: This command assists with legal workflows but does not provide legal advice. Compliance assessments should be reviewed by qualified legal professionals. Regulatory requirements change frequently; always verify current requirements with authoritative sources.
Usage
/compliance-check $ARGUMENTSWhat I Need From You
Describe what you're planning to do. Examples:
- "We want to launch a referral program with cash rewards"
- "We're adding biometric authentication to our mobile app"
- "We need to process EU customer data in our US data center"
- "Marketing wants to use customer testimonials in ads"
Output
## Compliance Check: [Initiative]
### Summary
[Quick assessment: Proceed / Proceed with conditions / Requires further review]
### Applicable Regulations and Policies
| Regulation/Policy | Relevance | Key Requirements |
|-------------------|-----------|-----------------|
| [GDPR / CCPA / HIPAA / etc.] | [How it applies] | [What you need to do] |
### Requirements
| # | Requirement | Status | Action Needed |
|---|-------------|--------|---------------|
| 1 | [Requirement] | [Met / Not Met / Unknown] | [What to do] |
### Risk Areas
| Risk | Severity | Mitigation |
|------|----------|------------|
| [Risk] | [High/Med/Low] | [How to address] |
### Recommended Actions
1. [Most important action]
2. [Second priority]
3. [Third priority]
### Approvals Needed
| Approver | Why | Status |
|----------|-----|--------|
| [Person/Team] | [Reason] | [Pending] |
### Further Review Recommended
[Areas where outside counsel or specialist review is advised]Privacy Regulation Overview
GDPR (General Data Protection Regulation)
Scope: Applies to processing of personal data of individuals in the EU/EEA, regardless of where the processing organization is located.
Key Obligations for In-House Legal Teams:
- Lawful basis: Identify and document lawful basis for each processing activity (consent, contract, legitimate interest, legal obligation, vital interest, public task)
- Data subject rights: Respond to access, rectification, erasure, portability, restriction, and objection requests within 30 days (extendable by 60 days for complex requests)
- Data protection impact assessments (DPIAs): Required for processing likely to result in high risk to individuals
- Breach notification: Notify supervisory authority within 72 hours of becoming aware of a personal data breach; notify affected individuals without undue delay if high risk
- Records of processing: Maintain Article 30 records of processing activities
- International transfers: Ensure appropriate safeguards for transfers outside EEA (SCCs, adequacy decisions, BCRs)
- DPO requirement: Appoint a Data Protection Officer if required (public authority, large-scale processing of special categories, large-scale systematic monitoring)
Common In-House Legal Touchpoints:
- Reviewing vendor DPAs for GDPR compliance
- Advising product teams on privacy by design requirements
- Responding to supervisory authority inquiries
- Managing cross-border data transfer mechanisms
- Reviewing consent mechanisms and privacy notices
CCPA / CPRA (California Consumer Privacy Act / California Privacy Rights Act)
Scope: Applies to businesses that collect personal information of California residents and meet revenue, data volume, or data sale thresholds.
Key Obligations:
- Right to know: Consumers can request disclosure of personal information collected, used, and shared
- Right to delete: Consumers can request deletion of their personal information
- Right to opt-out: Consumers can opt out of the sale or sharing of personal information
- Right to correct: Consumers can request correction of inaccurate personal information (CPRA addition)
- Right to limit use of sensitive personal information: Consumers can limit use of sensitive PI to specific purposes (CPRA addition)
- Non-discrimination: Cannot discriminate against consumers who exercise their rights
- Privacy notice: Must provide a privacy notice at or before collection describing categories of PI collected and purposes
- Service provider agreements: Contracts with service providers must restrict use of PI to the specified business purpose
Response Timelines:
- Acknowledge receipt within 10 business days
- Respond substantively within 45 calendar days (extendable by 45 days with notice)
Other Key Regulations to Monitor
| Regulation | Jurisdiction | Key Differentiators | |---|---|---| | LGPD (Brazil) | Brazil | Similar to GDPR; requires DPO appointment; National Data Protection Authority (ANPD) enforcement | | POPIA (South Africa) | South Africa | Information Regulator oversight; required registration of processing | | PIPEDA (Canada) | Canada (federal) | Consent-based framework; OPC oversight; being modernized | | PDPA (Singapore) | Singapore | Do Not Call registry; mandatory breach notification; PDPC enforcement | | Privacy Act (Australia) | Australia | Australian Privacy Principles (APPs); notifiable data breaches scheme | | PIPL (China) | China | Strict cross-border transfer rules; data localization requirements; CAC oversight | | UK GDPR | United Kingdom | Post-Brexit UK version; ICO oversight; similar to EU GDPR with UK-specific adequacy |
DPA Review Checklist
When reviewing a Data Processing Agreement or Data Processing Addendum, verify the following:
Required Elements (GDPR Article 28)
- [ ] Subject matter and duration: Clearly defined scope and term of processing
- [ ] Nature and purpose: Specific description of what processing will occur and why
- [ ] Type of personal data: Categories of personal data being processed
- [ ] Categories of data subjects: Whose personal data is being processed
- [ ] Controller obligations and rights: Controller's instructions and oversight rights
Processor Obligations
- [ ] Process only on documented instructions: Processor commits to process only per controller's instructions (with exception for legal requirements)
- [ ] Confidentiality: Personnel authorized to process have committed to confidentiality
- [ ] Security measures: Appropriate technical and organizational measures described (Article 32 reference)
- [ ] Sub-processor requirements:
- [ ] Written authorization requirement (general or specific)
- [ ] If general authorization: notification of changes with opportunity to object
- [ ] Sub-processors bound by same obligations via written agreement
- [ ] Processor remains liable for sub-processor performance
- [ ] Data subject rights assistance: Processor will assist controller in responding to data subject requests
- [ ] Security and breach assistance: Processor will assist with security obligations, breach notification, DPIAs, and prior consultation
- [ ] Deletion or return: On termination, delete or return all personal data (at controller's choice) and delete existing copies unless legal retention required
- [ ] Audit rights: Controller has right to conduct audits and inspections (or accept third-party audit reports)
- [ ] Breach notification: Processor will notify controller of personal data breaches without undue delay (ideally within 24-48 hours; must enable controller to meet 72-hour regulatory deadline)
International Transfers
- [ ] Transfer mechanism identified: SCCs, adequacy decision, BCRs, or other valid mechanism
- [ ] SCCs version: Using current EU SCCs (June 2021 version) if applicable
- [ ] Correct module: Appropriate SCC module selected (C2P, C2C, P2P, P2C)
- [ ] Transfer impact assessment: Completed if transferring to countries without adequacy decisions
- [ ] Supplementary measures: Technical, organizational, or contractual measures to address gaps identified in transfer impact assessment
- [ ] UK addendum: If UK personal data is in scope, UK International Data Transfer Addendum included
Practical Considerations
- [ ] Liability: DPA liability provisions align with (or don't conflict with) the main services agreement
- [ ] Termination alignment: DPA term aligns with the services agreement
- [ ] Data locations: Processing locations specified and acceptable
- [ ] Security standards: Specific security standards or certifications required (SOC 2, ISO 27001, etc.)
- [ ] Insurance: Adequate insurance coverage for data processing activities
Common DPA Issues
| Issue | Risk | Standard Position | |---|---|---| | Blanket sub-processor authorization without notification | Loss of control over processing chain | Require notification with right to object | | Breach notification timeline > 72 hours | May prevent timely regulatory notification | Require notification within 24-48 hours | | No audit rights (or audit rights only via third-party reports) | Cannot verify compliance | Accept SOC 2 Type II + right to audit upon cause | | Data deletion timeline not specified | Data retained indefinitely | Require deletion within 30-90 days of termination | | No data processing locations specified | Data could be processed anywhere | Require disclosure of processing locations | | Outdated SCCs | Invalid transfer mechanism | Require current EU SCCs (2021 version) |
Data Subject Request Handling
Request Intake
When a data subject request is received:
- Identify the request type:
- Access (copy of personal data)
- Rectification (correction of inaccurate data)
- Erasure / deletion ("right to be forgotten")
- Restriction of processing
- Data portability (structured, machine-readable format)
- Objection to processing
- Opt-out of sale/sharing (CCPA/CPRA)
- Limit use of sensitive personal information (CPRA)
- Identify applicable regulation(s):
- Where is the data subject located?
- Which laws apply based on your organization's presence and activities?
- What are the specific requirements and timelines?
- Verify identity:
- Confirm the requester is who they claim to be
- Use reasonable verification measures proportionate to the sensitivity of the data
- Do not require excessive documentation
- Log the request:
- Date received
- Request type
- Requester identity
- Applicable regulation
- Response deadline
- Assigned handler
Response Timelines
| Regulation | Initial Acknowledgment | Substantive Response | Extension | |---|---|---|---| | GDPR | Not specified (best practice: promptly) | 30 days | +60 days (with notice) | | CCPA/CPRA | 10 business days | 45 calendar days | +45 days (with notice) | | UK GDPR | Not specified (best practice: promptly) | 30 days | +60 days (with notice) | | LGPD | Not specified | 15 days | Limited extensions |
Exemptions and Exceptions
Before fulfilling a request, check whether any exemptions apply:
Common exemptions across regulations:
- Legal claims defense or establishment
- Legal obligations requiring retention
- Public interest or official authority
- Freedom of expression and information (for erasure requests)
- Archiving in the public interest or scientific/historical research
Organization-specific considerations:
- Litigation hold: Data subject to a legal hold cannot be deleted
- Regulatory retention: Financial records, employment records, and other categories may have mandatory retention periods
- Third-party rights: Fulfilling the request might adversely affect the rights of others
Response Process
- Gather all personal data of the requester across systems
- Apply any exemptions and document the basis
- Prepare response: fulfill the request or explain why (in whole or part) it cannot be fulfilled
- If denying (in whole or part): cite the specific legal basis for denial
- Inform the requester of their right to lodge a complaint with the supervisory authority
- Document the response and retain records of the request and response
Regulatory Monitoring Basics
What to Monitor
Maintain awareness of developments in:
- Regulatory guidance: New or updated guidance from supervisory authorities (ICO, CNIL, FTC, state AGs, etc.)
- Enforcement actions: Fines, orders, and settlements that signal regulatory priorities
- Legislative changes: New privacy laws, amendments to existing laws, implementing regulations
- Industry standards: Updates to ISO 27001, SOC 2, NIST frameworks, and sector-specific requirements
- Cross-border transfer developments: Adequacy decisions, SCC updates, data localization requirements
Monitoring Approach
- Subscribe to regulatory authority communications (newsletters, RSS feeds, official announcements)
- Track relevant legal publications for analysis of new developments
- Review industry association updates for sector-specific guidance
- Maintain a regulatory calendar of known upcoming deadlines, effective dates, and compliance milestones
- Brief the legal team on material developments that affect the organization's processing activities
Escalation Criteria
Escalate regulatory developments to senior counsel or leadership when:
- A new regulation or guidance directly affects the organization's core business activities
- An enforcement action in the organization's sector signals heightened regulatory scrutiny
- A compliance deadline is approaching that requires organizational changes
- A data transfer mechanism the organization relies on is challenged or invalidated
- A regulatory authority initiates an inquiry or investigation involving the organization
Tips
- Be specific — "We want to email all our users" is better than "marketing campaign."
- Include the geography — Compliance requirements vary by jurisdiction.
- Mention the data — What personal data is involved? This drives most compliance requirements.