ComplianceNLP: Knowledge-Graph-Augmented RAG for Multi-Framework Regulatory Gap Detection
Financial institutions must track over 60,000 regulatory events annually, overwhelming manual compliance teams; the industry has paid over USD 300 billion in fines and settlements since the 2008 financial crisis. We present ComplianceNLP, an end-to-end system that automatically monitors regulatory changes, extracts structured obligations, and identifies compliance gaps against institutional policies. The system integrates three components: (1) a knowledge-graph-augmented RAG pipeline grounding generations in a regulatory knowledge graph of 12,847 provisions across SEC, MiFID II, and Basel III; (2) multi-task obligation extraction combining NER, deontic classification, and cross-reference ...
| Authors | Dongxin Guo, Jikun Wu, Siu Ming Yiu |
|---|---|
| Primary category | cs.CL |
| Published | 26 April 2026 |
| Last updated at source | 26 April 2026 |
Silytics shows public metadata from arXiv and links to the original. Information may be incomplete or out of date. Last refreshed 17 October 2026. Licenses and terms of the original apply to the work itself. Not financial, legal or professional advice.