Automated Regulatory Compliance Question Answering in Financial Services with Domain-Adapted Retrieval-Augmented Generation

arXiv:2609.30009 · cs.CL, cs.AI · Submitted 2026-09-24 · Read on arXiv

cs.CL, cs.AI

Submitted: 2026-09-24

Updated: 2026-09-24

Terminology

• RAG — 32× in this paper · explained in 3 episodes
• Adaptation — 16× in this paper · explained in 1 episode
• Benchmark — 8× in this paper · explained in 2 episodes
• Fine-Tuning — 8× in this paper · explained in 5 episodes
• Grounding — 8× in this paper · explained in 3 episodes
• Quantization — 4× in this paper · explained in 12 episodes
• Ablation — 3× in this paper · explained in 1 episode
• Abu Dhabi Global Market — 3× in this paper
• Adam — 3× in this paper · explained in 2 episodes
• Embeddings — 3× in this paper · explained in 2 episodes
• LoRA Adapters — 3× in this paper · explained in 3 episodes
• Aggregation — 2× in this paper · explained in 1 episode
• Hallucination — 2× in this paper · explained in 4 episodes
• LoRA Adaptation — 2× in this paper · explained in 2 episodes
• Parameter-Efficient Fine-Tuning — 2× in this paper · explained in 2 episodes
• Abstention — 1× in this paper · explained in 1 episode
• Accuracy — 1× in this paper · explained in 1 episode
• Chain-of-Thought Prompting — 1× in this paper · explained in 2 episodes
• Cosine Similarity — 1× in this paper · explained in 3 episodes
• Distillation — 1× in this paper · explained in 2 episodes
• Domain Adaptation — 1× in this paper · explained in 5 episodes
• EMMA — 1× in this paper · explained in 2 episodes
• Failure Modes — 1× in this paper · explained in 3 episodes
• Generalization — 1× in this paper · explained in 13 episodes
• Generative Model — 1× in this paper · explained in 2 episodes
• Generative Models — 1× in this paper · explained in 3 episodes
• In-Context Learning — 1× in this paper · explained in 4 episodes
• Knowledge Distillation — 1× in this paper · explained in 11 episodes
• LLM-as-a-Judge — 1× in this paper · explained in 3 episodes
• Large Language Models (LLMs) — 1× in this paper · explained in 6 episodes
• Positional Bias — 1× in this paper · explained in 2 episodes
• Reinforcement Learning — 1× in this paper · explained in 4 episodes
• Retrieval-Augmented Generation (RAG) — 1× in this paper · explained in 16 episodes
• Self-Supervised Learning — 1× in this paper · explained in 8 episodes
• Trace — 1× in this paper · explained in 2 episodes
• Transfer Learning — 1× in this paper · explained in 10 episodes
• Verification — 1× in this paper · explained in 2 episodes

Sources

• On the Opportunities and Risks of Foundation Models
• RIRAG: Regulatory Information Retrieval and Answer Generation
• Domain-Adaptation through Synthetic Data: Fine-Tuning Large Language Models for German Law
• Multilingual E5 Text Embeddings: A Technical Report
• Efficient Natural Language Response Suggestion for Smart Reply
• Retrieval-Augmented Generation for Large Language Models: A Survey
• Certifiably Robust RAG against Retrieval Corruption
• LegalBench-RAG: A Benchmark for Retrieval-Augmented Generation in the Legal Domain
• GPT-4o System Card
• Qwen Technical Report
• Gemma 2: Improving Open Language Models at a Practical Size
• Gemma 3 Technical Report

Related papers

• Exploring Solution Divergence and Its Effect on Large Language Model Problem Solving
• Ishigaki-IDS-Bench: A Benchmark for Generating Information Delivery Specification from BIM Information Requirements
• Subliminal Steering: Stronger Encoding of Hidden Signals
• MedStruct-S: A Benchmark for Key Discovery, Key-Conditioned QA and Semi-Structured Extraction from OCR Clinical Reports
• The End of Transformers? On Challenging Attention and the Rise of Sub-Quadratic Architectures
• Untangling the Mechanisms of Misleading Context in Medical Question Answering