酒类价格法规合规审查助手

🧠 AI Regulatory Compliance Assistance System

> An **AI-based legal compliance analysis platform** integrating **Alibaba Cloud Bailian** AI capabilities for regulatory document processing, semantic retrieval, compliance analysis, and knowledge-graph construction. ---

🚀 System Overview

The **AI Regulatory Compliance Assistance System** automates compliance interpretation across complex legal frameworks. It supports PDF / HTML regulation ingestion, AI-powered question answering, and explainable rule mapping through RAG + knowledge-graph techniques. ---

✨ Key Features

1. Document Processing Module

- 📄 Upload **PDF** or **HTML** regulatory documents - 🔍 Automatic text extraction and segmentation - 🧾 Metadata extraction and storage

2. Vectorization & Embedding Module

- 🧠 Uses **Alibaba Cloud Bailian Embedding API** for text vectorization - 🗂 Builds **vector indexes** for regulations - 🔎 Enables **semantic similarity search**

3. Knowledge Graph Construction

- ⚖️ Extracts legal entities *(articles, violations, penalties, etc.)* - 🧩 Identifies inter-entity relationships - 🗃 Outputs a **JSON-formatted knowledge graph**

4. Semantic Retrieval & Q&A (RAG)

- 📚 Regulation retrieval based on **vector similarity** - 🕸 Enhances context with **knowledge graphs** - 💬 Generates professional answers via **Qwen-Turbo model**

5. Compliance Determination Workflow

- 🧮 Multi-factor logical analysis for business compliance - 📊 Risk-level evaluation - ⚠️ Violation identification & recommendation generation

6. Front-End Interactive Interface

- 🗂 Document upload & management - 🤖 Real-time Q&A interaction - 📑 Compliance analysis report - 🔗 Knowledge-graph query - 📈 System statistics dashboard ---

🏗 Technical Architecture

Backend Stack

Component	Purpose
**FastAPI**	Web framework
**Python**	Core development language
**Alibaba Cloud Bailian**	AI model service
**scikit-learn**	Vector similarity computation
**PyPDF2**	PDF parsing
**BeautifulSoup4**	HTML parsing

Frontend Stack

Component	Purpose
**HTML5**	Page structure
**CSS3**	Style design
**JavaScript**	Interaction logic
**Responsive Design**	Multi-device adaptation

Data Storage

- 🗂 **JSON files** – document / vector / graph data - 💾 **Local file system** – for uploaded files ---

Environment Configuration

1. Basic Environment

```bash Python 3.8+ ```

2. Install Dependencies

```bash pip install -r requirements.txt ```

3. Environment Variable Configuration

Create a .env file and configure it as follows: ```env ALIBABA_API_KEY="your api key" QWEN_MODEL=qwen-turbo EMBEDDING_MODEL=text-embedding-v1 DATA_DIR=./data UPLOAD_DIR=./uploads ```

Access the system

http://localhost:8000 ```

API Documentation

After the system starts, visit http://localhost:8000/docs to view the complete API documentation.

Core API Endpoints

• POST /api/upload-document - Upload regulatory document • GET /api/documents - Retrieve document list • POST /api/build-knowledge-graph - Build knowledge graph • POST /api/ask - Regulatory Q&A • POST /api/compliance-analysis - Compliance analysis • GET /api/search-regulations - Search regulations • GET /api/knowledge-graph/query - Query knowledge graph • GET /api/statistics - System statistics

User Guide

1. Document Upload

1. Go to the "Document Upload" tab 2. Select a regulatory file in **PDF** or **HTML** format 3. Click **Upload** — the system will automatically process the document

2. Regulatory Q&A

1. Go to the "Regulatory Q&A" tab 2. Enter a regulation-related question 3. The system will provide a professional answer based on **RAG technology**

3. Compliance Analysis

1. Go to the "Compliance Analysis" tab 2. Fill in the business type and detailed description 3. Obtain a compliance analysis report and recommendations

4. Knowledge Graph

1. Go to the "Knowledge Graph" tab 2. Build a knowledge graph (using already uploaded documents) 3. Query related information for specific entities

Testing and Validation

The system includes a complete API testing suite: ```bash

Run all tests

python tests/test_api.py

Run with pytest

pytest tests/test_api.py -v

Directory Structure

``` AI_Regulatory_Compliance_Assistance_System/ ├── app/ # Core application module │ ├── init.py │ ├── models.py # Data models │ ├── storage.py # Data storage │ ├── document_processor.py # Document processing │ ├── ai_client.py # AI service client │ ├── vector_service.py # Vector services │ ├── knowledge_graph.py # Knowledge graph │ ├── rag_service.py # RAG service │ ├── compliance_analyzer.py # Compliance analysis │ └── api.py # API routing ├── static/ # Front-end static files │ ├── index.html │ ├── style.css │ └── script.js ├── tests/ # Test files │ └── test_api.py ├── data/ # Data storage directory ├── uploads/ # File upload directory ├── main.py # Main application entry point ├── requirements.txt # Dependency file ├── .env # Environment configuration ├── run_system.py # Launch script └── README.md # System documentation ```

Notes

1. **API Key**: Ensure that your Alibaba Cloud Bailian API key is valid and has sufficient quota. 2. **File Formats**: Currently supports PDF and HTML formats; make sure the documents are clear and readable. 3. **Network Connection**: A stable internet connection is required to access Alibaba Cloud services. 4. **Storage Space**: Ensure there is enough disk space to store uploaded documents and generated data.

Future Enhancements

- Support for additional document formats (Word, TXT, etc.) - User permission management - Integration with more AI model options - Database persistence - Distributed deployment support