#USA #Greenwich #AI Tool #DragonGC #10-K Compliance

DragonGC's New AI-Driven 10-K Compliance Check

On November 13, 2025, DragonGC, a leader in governance and compliance technology, announced the beta launch of its groundbreaking tool, the 10-K Compliance Check. This innovative feature is designed for legal and compliance professionals tasked with navigating the complex world of SEC regulations and filings. It employs advanced artificial intelligence to revamp the traditionally labor-intensive process of reviewing Draft Form 10-K filings against the required regulations.

A Paradigm Shift in Compliance Processes

The 10-K Compliance Check is built on DragonGC's proprietary Authoritative Sources, enabling it to automate a process that previously involved numerous manual checks and significant paper-based work. This transformative tool drastically reduces the time required to ensure compliance, allowing users to complete thorough reviews in just a matter of minutes rather than the days it typically required. With its intelligent system, the tool can promptly flag areas of potential non-compliance, highlight inconsistencies, and provide users with direct links to the applicable SEC regulations.

Neil McCarthy, Co-Founder and Chief Product Officer of DragonGC, emphasized the aim behind this innovation: "Our goal was to bring precision, speed, and accountability to one of the most time-consuming and risk-sensitive areas of securities disclosure." The 10-K Compliance Check achieves this by merging legal expertise with the robustness of verified data, ensuring that each recommendation is well-supported and transparent.

Enhancing Legal Teams’ Capabilities

One of the primary challenges faced by legal teams is the pressure to maintain accuracy under tight filing deadlines. Emily Drazan Chapman, the Legal AI Architect at DragonGC and a former SEC attorney, noted, "Legal teams are under tremendous pressure to ensure accuracy while meeting accelerated filing timelines." The 10-K Compliance Check redefines this checklist-driven approach by offering real-time analysis verified by authoritative data, enabling teams to minimize risks and optimize their diligence efforts.

Incorporating full traceability, every flagged issue or recommendation is accompanied by a citation and direct link to the corresponding SEC rule or interpretive document. This feature not only facilitates transparency but also aligns with the American Bar Association Model Rule 1.1 regarding competence, demanding attorneys to verify information independently and exercise professional judgment.

Benefits for Publicly Traded Companies

Currently, the 10-K Compliance Check is available to publicly traded companies and their advisors as part of the DragonGC platform. This initiative targets firms looking to update their disclosure review processes in anticipation of the 2026 proxy and reporting season. The tool promises an efficient, modern approach to compliance monitoring, ultimately benefiting corporations and legal practices alike.

The launch of the 10-K Compliance Check illustrates DragonGC's commitment to leveraging AI in enhancing compliance-related tasks. With verified insights and an emphasis on precision, the platform empowers organizations to navigate the complexities of SEC disclosures with assurance.