Regulatory Breach Count
Number of confirmed breaches of regulatory requirements in a period
What is Regulatory Breach Count?
Regulatory breach count is the number of confirmed breaches of regulatory requirements in a period. It shows how often a financial firm fails to meet the rules it must follow.
Breaches can lead to fines, remediation costs and reputational damage, so a low count is a mark of a strong compliance culture.
How this KPI is measured
- Function
- Legal, Risk & Compliance
- Sub-function
- Compliance
- Industry
- Financial Services
- Type
- Lagging
- Impact
- Risk
- Unit
- #
- Measurement frequency
- Monthly / Quarterly
- Formula
- Count of confirmed regulatory breaches in period
How to calculate it
Count the confirmed regulatory breaches in the period.
For example, if a firm recorded 5 breaches during the year, the count is 5.
Classify breaches by severity and cause, record whether they were self-reported, and follow up with root cause analysis and fixes. Rising counts may reflect better detection and reporting.
Where it is used
Monitoring compliance health
Track rule failures.
Guiding control improvements
Target root causes.
Reporting to boards and regulators
Show openness.
How to improve it
Tips and common mistakes
- A rise can mean better detection, not worse compliance.
- Follow rules on reporting to regulators.
- Look at severity as well as count.
More Legal, Risk & Compliance kpi library
Build better plans, faster
Join the waitlist for early access to curated insights, flexible templates, and rapid iteration across strategy, planning, and project management.