Code-as-Auditor: Executable Compliance Reasoning via Regulation-to-Code

Large Language Models (LLMs) have been used in various industries. However, ensuring their compliance with complex laws and regulatory frameworks remains a great challenge. Existing evaluation paradigms mainly rely on static benchmarks that suffer from three severe limitations: First, the compliance rules being used do not comply with the requirements of Artificial Intelligence (AI) laws and regulations; Second, they only handle apparent, explicit compliance risks, leaving implicit and covert compliance risks undetected; Third, they fail to track the systematic propagation of risks along logical dependency chains or evaluate compliance within nuanced, context-based real-world scenarios. To bridge this critical gap, we introduce EADC, a novel advanced evaluation benchmark of LLMs based on an AI compliance knowledge graph and AI compliance legal experts. By mapping abstract legal rules into structured logical multi-relational graphs, our framework enables automated, evolving agents to distill and synthesize highly sophisticated adversarial scenarios. This compliance benchmark is reviewed and corrected by human AI legal experts throughout the whole process. The resulting dataset (4,435+ QA pairs) provides an extensive, multi-dimensional taxonomy covering critical regulatory frontiers, including bias and discrimination, fairness, personal privacy protection, and values. Crucially, our compliance dataset moves beyond shallow string-matching by incorporating contextual long-horizon interactions and logic-driven hazard chains, capturing deeply embedded compliance anomalies that bypass traditional filters. Experiment evaluations demonstrate that our framework exposes critical regulatory blind spots in state-of-the-art LLMs, offering a rigorous, AI laws and regulations-aligned benchmark to safeguard high-level and deep compliance in the application of LLMs.

As large language models (LLMs) are increasingly deployed in financial services, a single non-compliant interaction can expose institutions to regulatory penalties and direct consumer harm. Existing guard models are built around general harm taxonomies and overlook violations grounded in specific financial regulations. We address this gap with a regulation-driven pipeline that operates directly on regulatory documents, inducing a financial compliance risk taxonomy and synthesizing grounded training data without any predefined violation categories. Instantiating the pipeline on Chinese financial regulations, we release \textbf{FinGuard-Bench}, to our knowledge the first benchmark for financial regulatory compliance detection, with expert-annotated labels at both the query and response levels. We further train \textbf{FinGuard}, a financial compliance detection model built on Qwen3-8B and trained on the regulation-grounded data via supervised fine-tuning and self-play reinforcement learning. On FinGuard-Bench, FinGuard substantially outperforms all baselines, including dedicated guard models and much larger general-purpose LLMs such as Qwen3.5-397B-A17B and GPT-5.1. Furthermore, FinGuard also preserves general safety capabilities and adapts to unseen institution-specific policies using policy documents alone. We will publicly release the code, prompts, and resources used in this work on GitHub.

Large language model (LLM)-based approaches for automated code compliance (ACC) of building regulations are prone to generating incorrect and hallucinated computer-processable rules. This paper introduces P4IR, a two-stage framework that uses supervised fine-tuning (SFT) to instill domain knowledge in an LLM, followed by Group Relative Policy Optimization (GRPO) to improve the accuracy of the generated intermediate representations in the form of high-level code skeletons. The framework achieved reductions of up to 23.8% and 38.6% in tree edit distance and token-level Levenshtein distance respectively, relative to the SFT baselines. Comparative analysis demonstrates that this approach in a zero-shot setting outperforms leading LLMs in both code structure and semantics, specifically Claude Opus and Sonnet 4.5, GPT-5.2, Qwen-3-Max, and GLM-4.7, evaluated via few-shot prompting. Additionally, the GRPO stage produced a small yet statistically significant reduction in false positives. By combining SFT with GRPO to optimize directly for domain-specific objectives, this approach offers a path toward more accurate and reliable LLM-based ACC systems.