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

Market	Regulator	Key Features	Special Requirements
Singapore (SG)	MAS	Guaranteed returns detection, Risk disclosure checks	English language, Clear risk warnings
Hong Kong (HK)	SFC	SFC authorization checks, Complex product warnings	Traditional/Simplified Chinese support
UAE (AE)	DFSA/SCA	DFSA licensing validation, Risk rating requirements	Arabic/English bilingual compliance
India (IN)	SEBI	Risk-o-meter requirements, Celebrity endorsement rules	Local language disclosures

🔧 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

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Built with ❤️ for the financial compliance community

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