Startups in AI and Web3 face multi-layered regulations. A compliance gap analysis turns unknown risks into a clear action backlog.
Table of Contents
- What Is a Compliance Gap Analysis
- Step 1 — Map Current Processes
- Step 2 — Compare With Regulatory Requirements
- Step 3 — Prioritize Gaps by Risk
- Step 4 — Actionable Roadmap
- Conclusion
What Is a Compliance Gap Analysis {#what-is}
- Map all internal processes related to data, financial flows, AI models, and token operations.
- Compare against GDPR, MiCA, DORA, AML, and other local rules.
- Identify gaps with high likelihood or impact first.
Step 1 — Map Current Processes {#step1}
- Data processing flows
- Token issuance & exchange operations
- Vendor & third-party integrations
- Incident response & reporting
- Entity structure
Step 2 — Compare With Regulatory Requirements {#step2}
- GDPR: RoPA, DPIA, cross-border transfers
- MiCA: CASP & token compliance
- DORA: Digital operational resilience
- AML/KYC: transaction monitoring, reporting
Step 3 — Prioritize Gaps by Risk {#step3}
- Use a scoring system: likelihood × impact
- Highlight “regulatory blockers” vs “low-impact gaps”
- Assign owners and timelines
Step 4 — Actionable Roadmap {#step4}
- Convert findings into sprints
- Deliverables: policies, documents, reports, dashboards
- Track completion and evidence for investors/regulators
Conclusion {#conclusion}
A vigilant founder treats gap analysis as a living document. Check quarterly or after new releases.
