Papers › Compliance-to-Code: Enhancing Financial Compliance Checking via Code Generation
Compliance-to-Code: Enhancing Financial Compliance Checking via Code Generation
Siyuan Li, Jian Chen, Rui Yao, Xuming Hu, Peilin Zhou, Weihua Qiu, Simin Zhang, Chucheng Dong, Zhiyao Li, Qipeng Xie, Zixuan Yuan
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, and numerous exceptions, which inevitably result in labor-intensive or comprehension challenges. To mitigate this, recent Regulatory Technology (RegTech) and Large Language Models (LLMs) have gained significant attention in automating the conversion of regulatory text into executable compliance logic. However, their performance remains suboptimal particularly when applied to Chinese-language financial regulations, due to three key limitations: (1) incomplete domain-specific knowledge representation, (2) insufficient hierarchical reasoning capabilities, and (3) failure to maintain temporal and logical coherence. One promising solution is to develop a domain specific and code-oriented datasets for model training. Existing datasets such as LexGLUE, LegalBench, and CODE-ACCORD are often English-focused, domain-mismatched, or lack fine-grained granularity for compliance code generation. To fill these gaps, we present Compliance-to-Code, the first large-scale Chinese dataset dedicated to financial regulatory compliance. Covering 1,159 annotated clauses from 361 regulations across ten categories, each clause is modularly structured with four logical elements-subject, condition, constraint, and contextual information-along with regulation relations. We provide deterministic Python code mappings, detailed code reasoning, and code explanations to facilitate automated auditing. To demonstrate utility, we present FinCheck: a pipeline for regulation structuring, code generation, and report generation.
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