@inproceedings{sun-etal-2025-compliance,
title = "A Compliance Checking Framework Based on Retrieval Augmented Generation",
author = "Sun, Jingyun and
Luo, Zhongze and
Li, Yang",
editor = "Rambow, Owen and
Wanner, Leo and
Apidianaki, Marianna and
Al-Khalifa, Hend and
Eugenio, Barbara Di and
Schockaert, Steven",
booktitle = "Proceedings of the 31st International Conference on Computational Linguistics",
month = jan,
year = "2025",
address = "Abu Dhabi, UAE",
publisher = "Association for Computational Linguistics",
url = "https://aclanthology.org/2025.coling-main.178/",
pages = "2603--2615",
abstract = "The text-based compliance checking aims to verify whether a company`s business processes comply with laws, regulations, and industry standards using NLP techniques. Existing methods can be divided into two categories: Logic-based methods offer the advantage of precise and reliable reasoning processes but lack flexibility. Semantic embedding methods are more generalizable; however, they may lose structured information and lack logical coherence. To combine the strengths of both approaches, we propose a compliance checking framework based on Retrieval-Augmented Generation (RAG). This framework includes a static layer for storing factual knowledge, a dynamic layer for storing regulatory and business process information, and a computational layer for retrieval and reasoning. We employ an eventic graph to structurally describe regulatory information as we recognize that the knowledge in regulatory documents is centered not on entities but on actions and states. We conducted experiments on Chinese and English compliance checking datasets. The results demonstrate that our framework consistently achieves state-of-the-art results across various scenarios, surpassing other baselines."
}
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<abstract>The text-based compliance checking aims to verify whether a company‘s business processes comply with laws, regulations, and industry standards using NLP techniques. Existing methods can be divided into two categories: Logic-based methods offer the advantage of precise and reliable reasoning processes but lack flexibility. Semantic embedding methods are more generalizable; however, they may lose structured information and lack logical coherence. To combine the strengths of both approaches, we propose a compliance checking framework based on Retrieval-Augmented Generation (RAG). This framework includes a static layer for storing factual knowledge, a dynamic layer for storing regulatory and business process information, and a computational layer for retrieval and reasoning. We employ an eventic graph to structurally describe regulatory information as we recognize that the knowledge in regulatory documents is centered not on entities but on actions and states. We conducted experiments on Chinese and English compliance checking datasets. The results demonstrate that our framework consistently achieves state-of-the-art results across various scenarios, surpassing other baselines.</abstract>
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%0 Conference Proceedings
%T A Compliance Checking Framework Based on Retrieval Augmented Generation
%A Sun, Jingyun
%A Luo, Zhongze
%A Li, Yang
%Y Rambow, Owen
%Y Wanner, Leo
%Y Apidianaki, Marianna
%Y Al-Khalifa, Hend
%Y Eugenio, Barbara Di
%Y Schockaert, Steven
%S Proceedings of the 31st International Conference on Computational Linguistics
%D 2025
%8 January
%I Association for Computational Linguistics
%C Abu Dhabi, UAE
%F sun-etal-2025-compliance
%X The text-based compliance checking aims to verify whether a company‘s business processes comply with laws, regulations, and industry standards using NLP techniques. Existing methods can be divided into two categories: Logic-based methods offer the advantage of precise and reliable reasoning processes but lack flexibility. Semantic embedding methods are more generalizable; however, they may lose structured information and lack logical coherence. To combine the strengths of both approaches, we propose a compliance checking framework based on Retrieval-Augmented Generation (RAG). This framework includes a static layer for storing factual knowledge, a dynamic layer for storing regulatory and business process information, and a computational layer for retrieval and reasoning. We employ an eventic graph to structurally describe regulatory information as we recognize that the knowledge in regulatory documents is centered not on entities but on actions and states. We conducted experiments on Chinese and English compliance checking datasets. The results demonstrate that our framework consistently achieves state-of-the-art results across various scenarios, surpassing other baselines.
%U https://aclanthology.org/2025.coling-main.178/
%P 2603-2615
Markdown (Informal)
[A Compliance Checking Framework Based on Retrieval Augmented Generation](https://aclanthology.org/2025.coling-main.178/) (Sun et al., COLING 2025)
ACL