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)
-
Install Claude Desktop (Download here)
-
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"
}
}
}
}
- 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
-
Install Cursor (Download here)
-
Configure MCP in Workspace: Add to your Cursor workspace settings:
{
"mcp.servers": [
{
"name": "regguard",
"command": ["python", "-m", "src.regguard.server"],
"cwd": "./regguard-mcp"
}
]
}
- 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
@regguardcommands
For Cursor IDE Users:
- Add MCP configuration to workspace
- Restart Cursor
- Use
@regguardin 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
-
Critical Violation Test:
Content: "Guaranteed 25% returns with zero risk!" Expected: Multiple critical violations detected -
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:
- Fork the repository
- Create a feature branch (
git checkout -b feature/amazing-feature) - Commit your changes (
git commit -m 'Add amazing feature') - Push to the branch (
git push origin feature/amazing-feature) - 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
.envfile exists with correctOPENAI_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.