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Jan 8

Regulatory Compliance through Doc2Doc Information Retrieval: A case study in EU/UK legislation where text similarity has limitations

Major scandals in corporate history have urged the need for regulatory compliance, where organizations need to ensure that their controls (processes) comply with relevant laws, regulations, and policies. However, keeping track of the constantly changing legislation is difficult, thus organizations are increasingly adopting Regulatory Technology (RegTech) to facilitate the process. To this end, we introduce regulatory information retrieval (REG-IR), an application of document-to-document information retrieval (DOC2DOC IR), where the query is an entire document making the task more challenging than traditional IR where the queries are short. Furthermore, we compile and release two datasets based on the relationships between EU directives and UK legislation. We experiment on these datasets using a typical two-step pipeline approach comprising a pre-fetcher and a neural re-ranker. Experimenting with various pre-fetchers from BM25 to k nearest neighbors over representations from several BERT models, we show that fine-tuning a BERT model on an in-domain classification task produces the best representations for IR. We also show that neural re-rankers under-perform due to contradicting supervision, i.e., similar query-document pairs with opposite labels. Thus, they are biased towards the pre-fetcher's score. Interestingly, applying a date filter further improves the performance, showcasing the importance of the time dimension.

  • 5 authors
·
Jan 26, 2021

Knowledge-Augmented Large Language Models for Personalized Contextual Query Suggestion

Large Language Models (LLMs) excel at tackling various natural language tasks. However, due to the significant costs involved in re-training or fine-tuning them, they remain largely static and difficult to personalize. Nevertheless, a variety of applications could benefit from generations that are tailored to users' preferences, goals, and knowledge. Among them is web search, where knowing what a user is trying to accomplish, what they care about, and what they know can lead to improved search experiences. In this work, we propose a novel and general approach that augments an LLM with relevant context from users' interaction histories with a search engine in order to personalize its outputs. Specifically, we construct an entity-centric knowledge store for each user based on their search and browsing activities on the web, which is then leveraged to provide contextually relevant LLM prompt augmentations. This knowledge store is light-weight, since it only produces user-specific aggregate projections of interests and knowledge onto public knowledge graphs, and leverages existing search log infrastructure, thereby mitigating the privacy, compliance, and scalability concerns associated with building deep user profiles for personalization. We then validate our approach on the task of contextual query suggestion, which requires understanding not only the user's current search context but also what they historically know and care about. Through a number of experiments based on human evaluation, we show that our approach is significantly better than several other LLM-powered baselines, generating query suggestions that are contextually more relevant, personalized, and useful.

  • 5 authors
·
Nov 9, 2023

RAG-Driven Data Quality Governance for Enterprise ERP Systems

Enterprise ERP systems managing hundreds of thousands of employee records face critical data quality challenges when human resources departments perform decentralized manual entry across multiple languages. We present an end-to-end pipeline combining automated data cleaning with LLM-driven SQL query generation, deployed on a production system managing 240,000 employee records over six months. The system operates in two integrated stages: a multi-stage cleaning pipeline that performs translation normalization, spelling correction, and entity deduplication during periodic synchronization from Microsoft SQL Server to PostgreSQL; and a retrieval-augmented generation framework powered by GPT-4o that translates natural-language questions in Turkish, Russian, and English into validated SQL queries. The query engine employs LangChain orchestration, FAISS vector similarity search, and few-shot learning with 500+ validated examples. Our evaluation demonstrates 92.5% query validity, 95.1% schema compliance, and 90.7\% semantic accuracy on 2,847 production queries. The system reduces query turnaround time from 2.3 days to under 5 seconds while maintaining 99.2% uptime, with GPT-4o achieving 46% lower latency and 68% cost reduction versus GPT-3.5. This modular architecture provides a reproducible framework for AI-native enterprise data governance, demonstrating real-world viability at enterprise scale with 4.3/5.0 user satisfaction.

  • 7 authors
·
Nov 18, 2025

I'm Afraid I Can't Do That: Predicting Prompt Refusal in Black-Box Generative Language Models

Since the release of OpenAI's ChatGPT, generative language models have attracted extensive public attention. The increased usage has highlighted generative models' broad utility, but also revealed several forms of embedded bias. Some is induced by the pre-training corpus; but additional bias specific to generative models arises from the use of subjective fine-tuning to avoid generating harmful content. Fine-tuning bias may come from individual engineers and company policies, and affects which prompts the model chooses to refuse. In this experiment, we characterize ChatGPT's refusal behavior using a black-box attack. We first query ChatGPT with a variety of offensive and benign prompts (n=1,706), then manually label each response as compliance or refusal. Manual examination of responses reveals that refusal is not cleanly binary, and lies on a continuum; as such, we map several different kinds of responses to a binary of compliance or refusal. The small manually-labeled dataset is used to train a refusal classifier, which achieves an accuracy of 96%. Second, we use this refusal classifier to bootstrap a larger (n=10,000) dataset adapted from the Quora Insincere Questions dataset. With this machine-labeled data, we train a prompt classifier to predict whether ChatGPT will refuse a given question, without seeing ChatGPT's response. This prompt classifier achieves 76% accuracy on a test set of manually labeled questions (n=985). We examine our classifiers and the prompt n-grams that are most predictive of either compliance or refusal. Our datasets and code are available at https://github.com/maxwellreuter/chatgpt-refusals.

  • 2 authors
·
Jun 6, 2023

FinSage: A Multi-aspect RAG System for Financial Filings Question Answering

Leveraging large language models in real-world settings often entails a need to utilize domain-specific data and tools in order to follow the complex regulations that need to be followed for acceptable use. Within financial sectors, modern enterprises increasingly rely on Retrieval-Augmented Generation (RAG) systems to address complex compliance requirements in financial document workflows. However, existing solutions struggle to account for the inherent heterogeneity of data (e.g., text, tables, diagrams) and evolving nature of regulatory standards used in financial filings, leading to compromised accuracy in critical information extraction. We propose the FinSage framework as a solution, utilizing a multi-aspect RAG framework tailored for regulatory compliance analysis in multi-modal financial documents. FinSage introduces three innovative components: (1) a multi-modal pre-processing pipeline that unifies diverse data formats and generates chunk-level metadata summaries, (2) a multi-path sparse-dense retrieval system augmented with query expansion (HyDE) and metadata-aware semantic search, and (3) a domain-specialized re-ranking module fine-tuned via Direct Preference Optimization (DPO) to prioritize compliance-critical content. Extensive experiments demonstrate that FinSage achieves an impressive recall of 92.51% on 75 expert-curated questions derived from surpasses the best baseline method on the FinanceBench question answering datasets by 24.06% in accuracy. Moreover, FinSage has been successfully deployed as financial question-answering agent in online meetings, where it has already served more than 1,200 people.

  • 16 authors
·
Apr 20, 2025