RegGuard MCP Server 🛡️

AI-Enhanced Financial Marketing Compliance Server using Model Context Protocol (MCP)

RegGuard is a sophisticated MCP (Model Context Protocol) server that provides AI-powered regulatory compliance checking for financial marketing content. It leverages OpenAI's GPT-4o-mini model combined with jurisdiction-specific regulatory knowledge to detect violations across multiple financial markets.

🎯 What Does RegGuard Do?

RegGuard acts as an intelligent compliance assistant that:

• 🔍 Analyzes Marketing Content: Uses AI to scan financial marketing materials for regulatory violations

• 🌍 Multi-Jurisdiction Support: Covers Singapore (SG), Hong Kong (HK), UAE (AE), and India (IN) regulations

• ⚡ Real-time Compliance Checking: Integrates seamlessly with AI assistants like Claude and Cursor

• 📋 Automatic Disclaimer Insertion: Intelligently places required regulatory disclaimers

• 📊 Audit Trail Generation: Maintains tamper-proof logs of all compliance checks

• 🎯 Contextual AI Analysis: Goes beyond pattern matching to understand regulatory nuances

🧠 Key Concepts & Educational Resources

Understanding MCP (Model Context Protocol)

• MCP Official Documentation - Learn about the open standard for connecting AI assistants to external systems

• MCP GitHub Repository - Technical specification and examples

• Building MCP Servers - Anthropic Guide - Step-by-step guide to creating MCP servers

Financial Regulatory Compliance Basics

• MAS Guidelines on Fair Dealing (Singapore) - Singapore's financial marketing regulations

• SFC Investment Advertisement Guidelines (Hong Kong) - Hong Kong securities marketing rules

• DFSA Conduct Rules (UAE) - Dubai financial services regulations

• SEBI Guidelines (India) - Securities and Exchange Board of India regulations

AI-Powered Compliance Technology

• OpenAI API Documentation - Understanding GPT-4o-mini integration

• Financial AI Compliance Overview - Industry insights on AI in finance

• RegTech Explained - Introduction to regulatory technology

🚀 Quick Start Guide

Prerequisites

• Python 3.8+ (Download Python)

• OpenAI API Key (Get API Key)

• Git (Install Git)

1. Clone and Setup

# Clone the repository
git clone https://github.com/your-username/regguard-mcp.git
cd regguard-mcp

# Create virtual environment (recommended)
python -m venv regguard-env
source regguard-env/bin/activate  # On Windows: regguard-env\Scripts\activate

# Install dependencies
pip install -r requirements.txt

2. Configure API Key

Create a .env file in the project root:

# Create .env file
echo 'OPENAI_API_KEY="your-openai-api-key-here"' > .env

Important: Never commit your actual API key to GitHub!

3. Test the Server

# Test server functionality
python test_server.py

# Test AI integration
python test_ai_client.py

# Run example usage
python example_usage.py

🔌 How to Use RegGuard MCP Server

Option 1: Claude Desktop Integration (Recommended)

1. Install Claude Desktop (Download here)

2. Configure MCP Settings:

   • Open Claude Desktop settings

   • Navigate to "Developer" > "MCP Servers"

   • Add the following configuration:

{
  "mcpServers": {
    "regguard": {
      "command": "python",
      "args": ["-m", "src.regguard.server"],
      "cwd": "/full/path/to/regguard-mcp",
      "env": {
        "OPENAI_API_KEY": "your-openai-api-key-here"
      }
    }
  }
}

3. Start Using:

   @regguard Please check this marketing copy for Singapore compliance:
   "Our investment product guarantees 15% annual returns with zero risk!"

Option 2: Cursor IDE Integration

1. Install Cursor (Download here)

2. Configure MCP in Workspace: Add to your Cursor workspace settings:

{
  "mcp.servers": [
    {
      "name": "regguard",
      "command": ["python", "-m", "src.regguard.server"],
      "cwd": "./regguard-mcp"
    }
  ]
}

3. Use in Cursor:

   @regguard Analyze this financial ad for Hong Kong compliance violations

Option 3: Direct Python Integration

from regguard_client import RegGuardClient

# Initialize client
client = RegGuardClient()
client.start_server()

# Check compliance
result = client.check_compliance(
    html_content="<p>Guaranteed 20% returns!</p>",
    jurisdiction="sg"
)

print(f"Violations found: {len(result['violations'])}")

🛠️ Available Tools & Features

1. check_rule_violation - AI Compliance Analysis

Analyzes marketing content for regulatory violations across multiple jurisdictions.

Example Usage:

@regguard Check this content for Singapore violations:
"Join our exclusive investment club! Guaranteed profits of 25% annually with zero risk to your capital. Limited time offer - only 48 hours remaining!"

Response Includes:

• Detailed violation descriptions

• Severity levels (Critical, High, Medium, Low)

• Matched content highlights

• Regulatory references

• Actionable recommendations

2. auto_insert_disclaimer - Smart Disclaimer Placement

Automatically inserts jurisdiction-appropriate disclaimers in optimal locations.

Example:

@regguard Add appropriate disclaimers for this Singapore investment ad:
<div>
  <h2>Investment Opportunity</h2>
  <p>High potential returns available.</p>
  <button>Invest Now</button>
</div>

3. export_audit_trail - Compliance Audit Logs

Generates comprehensive audit reports for compliance teams.

4. health - System Status

Checks server health and AI capability status.

5. list_supported_markets - Available Jurisdictions

Returns: ["sg", "hk", "ae", "in"]

📁 Project Structure

regguard-mcp/
├── src/regguard/           # Core server code
│   ├── server.py          # Main MCP server
│   ├── rules_engine.py    # AI compliance engine
│   └── audit_writer.py    # Audit trail management
├── rules/                 # Jurisdiction-specific rules
│   ├── sg.yml            # Singapore (MAS)
│   ├── hk.yml            # Hong Kong (SFC)
│   ├── ae.yml            # UAE (DFSA)
│   └── in.yml            # India (SEBI)
├── audits/               # Compliance audit logs
├── tests/                # Test files
├── example_usage.py      # Usage examples
├── requirements.txt      # Python dependencies
└── README.md            # This file

🌍 Supported Jurisdictions

🔧 Implementation Steps for Your Project

Step 1: Environment Setup

# 1. Clone this repository
git clone https://github.com/your-username/regguard-mcp.git

# 2. Navigate to project directory
cd regguard-mcp

# 3. Create Python virtual environment
python -m venv venv
source venv/bin/activate  # or `venv\Scripts\activate` on Windows

# 4. Install dependencies
pip install -r requirements.txt

Step 2: Configuration

# 1. Get OpenAI API key from https://platform.openai.com/api-keys
# 2. Create .env file
echo 'OPENAI_API_KEY="your-actual-api-key"' > .env

# 3. Test configuration
python test_server.py

Step 3: Integration

Choose your preferred integration method:

For Claude Desktop Users:

• Configure MCP settings as shown above

• Restart Claude Desktop

• Use @regguard commands

For Cursor IDE Users:

• Add MCP configuration to workspace

• Restart Cursor

• Use @regguard in your code

For Custom Integration:

• Use the provided example scripts

• Implement JSON-RPC communication

• Follow MCP protocol specification

Step 4: Customization

# 1. Modify jurisdiction rules in rules/ directory
# 2. Add custom compliance patterns
# 3. Extend supported markets if needed
# 4. Customize disclaimer templates

🧪 Testing Your Setup

Basic Functionality Test

python test_server.py

AI Integration Test

python test_ai_client.py

Full Feature Demo

python example_usage.py

Manual Testing Examples

1. Critical Violation Test:

   Content: "Guaranteed 25% returns with zero risk!"
   Expected: Multiple critical violations detected

2. Compliant Content Test:

   Content: "Investment involves risk. Past performance is not indicative of future results."
   Expected: No violations, compliance status PASS

📊 Understanding Results

Violation Severity Levels

• CRITICAL: Serious regulatory breaches requiring immediate attention

• HIGH: Important compliance issues that should be addressed

• MEDIUM: Moderate concerns that may need review

• LOW: Minor issues or best practice recommendations

AI Analysis Features

• Contextual Understanding: Goes beyond keyword matching

• Regulatory Knowledge: Trained on jurisdiction-specific rules

• Confidence Scoring: AI confidence in each violation detection

• Actionable Recommendations: Specific suggestions for fixes

🤝 Contributing

We welcome contributions! Please:

1. Fork the repository

2. Create a feature branch (git checkout -b feature/amazing-feature)

3. Commit your changes (git commit -m 'Add amazing feature')

4. Push to the branch (git push origin feature/amazing-feature)

5. Open a Pull Request

📜 License

This project is licensed under the MIT License - see the LICENSE file for details.

🆘 Support & Troubleshooting

Common Issues

"OpenAI API key not found"

• Ensure .env file exists with correct OPENAI_API_KEY

• Check that your API key is valid and has credits

"Server not responding"

• Verify Python dependencies are installed

• Check that port is not in use by another process

• Review error logs in terminal

"AI analysis failed"

• Confirm OpenAI API key has sufficient credits

• Check internet connection

• Verify OpenAI service status

Getting Help

• 📚 Documentation: Review the detailed guides in /docs

• 🐛 Issues: Report bugs via GitHub Issues

• 💬 Discussions: Join our GitHub Discussions for questions

• 📧 Contact: Reach out for enterprise support

🚀 What's Next?

• Additional jurisdiction support (EU, US, Canada)

• Real-time compliance monitoring dashboard

• Integration with more AI assistants

• Enhanced multilingual support

• Advanced analytics and reporting

Built with ❤️ for the financial compliance community

RegGuard helps ensure your financial marketing content meets regulatory standards across global markets. Stay compliant, stay confident.