Related papers: ComplianceNLP: Knowledge-Graph-Augmented RAG for M…

Compliance at web scale poses practical challenges: each request may require a regulatory assessment. Regulatory texts (e.g., the General Data Protection Regulation, GDPR) are cross-referential and normative, while runtime contexts are…

As large language models (LLMs) are increasingly deployed in financial services, a single non-compliant interaction can expose institutions to regulatory penalties and direct consumer harm. Existing guard models are built around general…

Multi-hop reasoning over financial disclosures is often a retrieval problem before it becomes a reasoning or generation problem: relevant facts are dispersed across sections, filings, companies, and years, and LLMs often expend excessive…

Nowadays, regulatory compliance has become a cornerstone of corporate governance, ensuring adherence to systematic legal frameworks. At its core, financial regulations often comprise highly intricate provisions, layered logical structures,…

Retrieval-Augmented Generation (RAG) systems implicitly assume mutual consistency among retrieved documents -- an assumption that frequently fails in practice. We present ConflictRAG, a conflict-aware RAG framework that detects, classifies,…

Regulatory compliance question answering (QA) requires precise, verifiable information, and domain-specific expertise, posing challenges for Large Language Models (LLMs). In this work, we present a novel multi-agent framework that…

Deploying Large Language Models (LLMs) for regulatory compliance demands rigorous traceability via comprehensive citations across multi-tiered authority structures. Unlike traditional multi-hop or legal QA, this task requires structured…

In the modern financial sector, the exponential growth of data has made efficient and accurate financial data analysis increasingly crucial. Traditional methods, such as statistical analysis and rule-based systems, often struggle to process…

Compliance testing in highly regulated domains is crucial but largely manual, requiring domain experts to translate complex regulations into executable test cases. While large language models (LLMs) show promise for automation, their…

Retrieval-Augmented Generation (RAG) grounds large language models (LLMs) in external evidence, but fails when retrieved sources conflict or contain outdated or subjective information. Prior work address these issues independently but lack…

Serving diverse NLP workloads with large language models is costly: at one enterprise partner, inference costs exceeded $200K/month despite over 70% of queries being routine tasks well within the capability of smaller models. We present…

An auditor instructs an AI assistant: "open each file individually using the Read tool -- no scripts, no agents." The AI replies "Yes" -- then issues a single batched call summarizing all fifty files at once. We call this the Compliance…

Financial AI systems must produce answers grounded in specific regulatory filings, yet current LLMs fabricate metrics, invent citations, and miscalculate derived quantities. These errors carry direct regulatory consequences as the EU AI…

As organizations increasingly integrate AI-powered question-answering systems into financial information systems for compliance, risk assessment, and decision support, ensuring the factual accuracy of AI-generated outputs becomes a critical…

Accurate interpretation of numerical data in financial reports is critical for markets and regulators. Although XBRL (eXtensible Business Reporting Language) provides a standard for tagging financial figures, mapping thousands of facts to…

Retrieval Augmented Generation (RAG) has emerged as the de facto industry standard for user-facing NLP applications, offering the ability to integrate data without re-training or fine-tuning Large Language Models (LLMs). This capability…

Large language models (LLMs) hold promise for sustainable manufacturing, but often hallucinate industrial codes and emission factors, undermining regulatory and investment decisions. We introduce CircuGraphRAG, a retrieval-augmented…

This paper presents a real-time transaction monitoring framework that integrates graph-based modeling, narrative field embedding, and generative explanation to support automated financial compliance. The system constructs dynamic…

Individual investors are significantly outnumbered and disadvantaged in financial markets, overwhelmed by abundant information and lacking professional analysis. Equity research reports stand out as crucial resources, offering valuable…

Financial analysts face significant challenges extracting information from lengthy 10-K reports, which often exceed 100 pages. This paper presents a Retrieval-Augmented Generation (RAG) system designed to answer questions about S&P 500…