AI Regulatory Compliance

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37 papers8 papers in the last four weeks, up 100% on the four weeks before. 0.0% of all new papers.

Penumbra: Sample-Efficient Adversarial Search for Regulatory Obligations
Oct 3, 2026Anthony RhodesAutomated Red Teaming AI Regulatory Compliance
Confidential Core AI
ARCCS: An Automated Regulatory Compliance Checking System
Oct 1, 2026Giorgos Filandrianos, José Menezes, Chrysoula Zerva +1Legal NLP Legal Document Analysis
Instituto de Telecomunicações · AILS Lab; ECE, National Technical University of Athens · Instituto de Telecomunicações/IST, Universidade de Lisboa +1
Automated Regulatory Compliance Question Answering in Financial Services with Domain-Adapted Retrieval-Augmented Generation
Sep 24, 2026Tobias Deußer, Abhishek Pillai, Aurelio F. Bariviera +5Retrieval-Augmented Generation Legal QA
University of Bonn, Bonn, Germany · Lamarr-Institute for Machine Learning and Artificial Intelligence, Bonn, Germany · Universitat Rovira i Virgili, Reus, Spain +1
Compliant with Local Controls, Collectively Discriminatory. A Governance Architecture for Multi-Agent AI in Regulated Finance
Sep 23, 2026Jose Manuel de la Chica Rodriguez, Juan Manuel Vera Diaz, Pablo Delgado RomeroFinancial Services Algorithmic Fairness
Santander AI Lab, Grupo Santander, Madrid, Spain
Multi-Agent AI Architecture for Regulated Insurers: A generic AI framework under Solvency II and the AI Act in Austria and Germany
Sep 23, 2026Walter KurzMulti-Agent Orchestration Multi-Agent Systems
Swissi Institute for AI
Compliant AI Infrastructure for Regulated Finance: A tiered multi-agent framework with DLT audit trails for financial operations in DACH
Sep 23, 2026Walter Kurz, Reinhard MaggAI Agent Auditing Runtime Enforcement for AI Agents
Swissi Institute for AI
On the security and privacy of LLMs in Mobility
Sep 22, 2026Mauro Conti, Lorenzo Perinello, Umberto SalviatiIntelligent Transportation Systems LLM Security
University of Padova Italy · Fondazione Bruno Kessler Italy
Context-Aware Pre-Deployment Evaluation of AI Systems: A Regulatory Framework for Nigerian Fintech
Sep 21, 2026Andrew Anogie Uduimoh, Hadiza Umar Yusuf, Oluwafemi OshoAI Governance AI Regulatory Compliance
Federal University of Technology Minna, Nigeria · University of Michigan-Dearborn, USA · Clemson University, USA
Governance-as-Code: Translating EU AI Act Technical Requirements into Executable Compliance Pipelines for Generative AI Systems
Sep 17, 2026Rudrendu Kumar Paul, Sourav NandyAlgorithmic Auditing AI Governance
Boston University, Boston, MA, USA
ARC: Autonomous Robotics Compliance A Three-Layer Governance Architecture for Deployed Autonomous Systems
Sep 11, 2026Tord Eide, Einar HoltRobotics Robot Safety
Wybe Labs Inc. · Moss, Norway / USA
Intent Drift at SME Scale: Deployment Practice, Not Model Capability, Determines Agentic Compliance
Sep 5, 2026Ilia VoroshilovAI Agent Governance AI Regulatory Compliance
The Hong Kong University of Science and Technology Hong Kong SAR
A Mathematical Framework for Legacy, Governance, and Decision Integrity in Enterprise AI
Sep 1, 2026Shorab SarkerAI-Assisted Decision Making AI Accountability
Independent Researcher · The Math Behind Innovation
ReguSim: Evaluating LLM Agent Rule Grounding in Financial Compliance
Aug 20, 2026Yiyang Luo, Yihang Jiang, Qijun Xie +4LLM Agent Evaluation AI Regulatory Compliance
HKUST · HKBU · NTU
What Do Compliance Detectors Read? An Audit of Activation Probes and Guard Models
Aug 17, 2026Saisab Sadhu, Aadit Sengupta, Vinay Kumar Sankarapu +1Language Model Auditing AI Regulatory Compliance
Lexsi Labs
From Regulation to Requirements: An Automated Requirement Derivation and Explanation Pipeline
Jul 5, 2026Pavithra PM Nair, Preethu Rose AnishRequirements Engineering Legal Document Analysis
Tata Consultancy Services
Citation-Closure Retrieval and Per-Rule Attribution for Real-World Regulatory Compliance Question Answering
May 28, 2026Yeong-Joon Ju, Seong-Whan LeeGraph Retrieval-Augmented Generation Legal QA
Department of Artificial Intelligence, Korea University
FinGuard: Detecting Financial Regulatory Non-Compliance in LLM Interactions
May 28, 2026Huaixia Dou, Jie Zhu, Minghao Wu +5Language Model Safety Evaluation LLM Guardrails
Qwen DianJin Team, Alibaba Cloud Computing · Tongyi Lab, Alibaba Group · School of Computer Science and Technology, Soochow University
Who judges the judges? Governance from metrics: a runtime framework for continuous LLM compliance monitoring
May 23, 2026Jehanne DussertLLM-as-a-Judge AI Governance
Independent Researcher
Mechanical Enforcement for LLM Governance:Evidence of Governance-Task Decoupling in Financial Decision Systems
May 14, 2026José Manuel de la Chica Rodríguez, Carlos Martí-GonzálezLLM Auditing LLM Safety
1Santander AI Lab, Grupo Santander
Autonomy and Agency in Agentic AI: Architectural Tactics for Regulated Contexts
May 12, 2026Damir Safin, Dian BaltaAI Agent Architecture AI Agent Governance
fortiss GmbH, Research Institute of the Free State of Bavaria for software-intensive systems, Munich, Germany
The Open-Box Fallacy: Why AI Deployment Needs a Calibrated Verification Regime
May 11, 2026Phongsakon Mark Konrad, Tim Lukas Adam, Ane Cathrine Holst Merrild +4AI Assurance AI Accountability
Centre for Industrial Software, University of Southern Denmark, Alsion 2, Sønderborg, 6400, Denmark · ProMake, Newark, DE, USA
Time-Series Forecasting in Safety-Critical Environments: An EU-AI-Act-Compliant Open-Source Package / Zeitreihenprognose in sicherheitskritischen Umgebungen: Ein KI-VO-konformes Open-Source-Paket
Apr 26, 2026Thomas Bartz-Beielstein, Eva BartzAI Assurance Time Series Forecasting
Bartz & Bartz GmbH, 51643 Gummersbach, Deutschland
ComplianceNLP: Knowledge-Graph-Augmented RAG for Multi-Framework Regulatory Gap Detection
Apr 26, 2026Dongxin Guo, Jikun Wu, Siu Ming YiuFinancial Services Graph Retrieval-Augmented Generation
The University of Hong Kong · Stellaris AI Limited
Bounding the Black Box: A Statistical Certification Framework for AI Risk Regulation
Apr 23, 2026Natan Levy, Gadi PerlAI Assurance AI Risk Management
School of Computer Science and Engineering The Hebrew University of Jerusalem(HUJI) Jerusalem, Israel · dept. name of organization (of Aff.) The Hebrew University of Jerusalem(HUJI) Jerusalem, Israel
Engaged AI Governance: Addressing the Last Mile Challenge Through Internal Expert Collaboration
Apr 23, 2026Simon Jarvers, Orestis PapakyriakopoulosAI Governance AI Regulatory Compliance
Technical University of Munich, Professorship for Societal Computing, Munich, Germany
A Regulatory Governance Framework for AI-Driven Financial Fraud Detection in U.S. Banking: Integrating OCC, SR 11-7, CFPB, and FinCEN Compliance Requirements for Model Development, Validation, and Monitoring Lifecycles
Apr 14, 2026Mohammad Nasir UddinAI Regulatory Compliance AI Governance
Westcliff University, Irvine, California, USA
REGREACT: Self-Correcting Multi-Agent Pipelines for Structured Regulatory Information Extraction
Apr 13, 2026Mohammed Ali, Abdelrahman Abdallah, Adam JatowtLLM Self-Correction Document Information Extraction
University of Innsbruck, Austria
UGAF-ITS: A Standards Harmonization Framework and Validation Tool for Multi-Framework AI Governance in Distributed Intelligent Transportation Systems
Apr 7, 2026Talal Ashraf Butt, Muhammad Iqbal, Razi IqbalAI Regulatory Compliance AI Governance
Higher Colleges of Technology, Fujairah, United Arab Emirates · Central Michigan University, Mount Pleasant, United States of America
AI Agents Under EU Law
Apr 6, 2026Luca Nannini, Adam Leon Smith, Michele Joshua Maggini +6AI Agent Governance AI Regulatory Compliance
Piccadilly Labs, Association of AI Ethicists, Centro Singular de Investigación en Tecnoloxías Intelixentes da USC · Piccadilly Labs, AIQI Consortium · Centro Singular de Investigación en Tecnoloxías Intelixentes da USC +6
Type-Checked Compliance: Deterministic Guardrails for Agentic Financial Systems Using Lean 4 Theorem Proving
Apr 1, 2026Devakh Rashie, Veda RashiLLM Guardrails AI Regulatory Compliance
Independent Researcher Centreville, Virginia, USA · Thomas Jefferson High School for Science and Technology Alexandria, VA, USA

Oct 3, 2026J/K move · Enter open · S save

Penumbra: Sample-Efficient Adversarial Search for Regulatory Obligations

Anthony Rhodes

Confidential Core AI

Automated Red Teaming AI Regulatory Compliance AI Agent Auditing Adversarial Scenario Generation

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Agents are entering finance, healthcare and law, sectors where a violation leaves no lexical signature and carries real penalties. Whether an omission is material, or a disclosure sufficient, depends on what the response left out. Probing such an obligation means finding responses one minimal edit from flipping compliance, and every probe costs a generation and two adjudications, so the binding constraint on regulatory red-teaming is sample efficiency, not volume. We introduce Penumbra, an adversarial search that walks from a verified anchor under an expanding edit budget until a two-evaluator committee changes its verdict, and emits the two adjacent responses that straddle the change. Allocation is adaptive, and the objective is coverage of the defeat surface: distinct (obligation x defeat mode) cells resolved per candidate. At matched budget, adaptive allocation reaches uniform allocation's full-budget coverage on 59% of the candidates; at equal records it covers 1.43x the defeat modes of naive enumeration, and the gain is confined to the axis it targets. On 60 screened obligations of a financial advisory constitution, Penumbra returns 144 pairs, each a compliant and a violating response that the committee places on opposite sides of the boundary, differing by a handful of words where a model asked for both directly produces texts sharing almost nothing. A second constitution, for clinical triage, reproduces this on 18 obligations: 49 pairs at the same tightness, with the same modes hardest. Pairs like these show where an obligation's own terms stop deciding, which is what an agent deployed under it must be tested against, and the search finds them at a cost that scales with the boundary, not the text.