Regulation 365 - Financial Regulation Management Platform

Overview

Regulation 365 is a comprehensive web platform designed to help financial institutions navigate and manage regulatory requirements. The platform provides real-time updates on financial regulations, enforcement actions, and regulatory changes across multiple US federal agencies.

Video

Final.Solution.for.Regulation.365.Walkthrough.1.mp4

Slides

View Presentation

Data Collection Github

Data Collection Repository

Tech Stack

Dashboard

Document Listing and Search

Document Detail and Chat

Key Features

1. Document Management

• Real-time tracking of federal regulatory documents
• AI-powered document summarization
• Smart document categorization and filtering
• Relevance marking and organization

2. Interactive Chat Systems

• Document-specific chat interface for detailed queries
• Regulatory knowledge base chat for general regulatory questions
• AI-powered responses backed by regulatory documents
• Context-aware conversations with document references

3. Enforcement Action Tracking

• Real-time monitoring of enforcement actions from:
  • Consumer Financial Protection Bureau (CFPB)
  • Federal Deposit Insurance Corporation (FDIC)
  • Federal Reserve Board (FRB)
  • Office of the Comptroller of the Currency (OCC)
  • Financial Crimes Enforcement Network (FinCEN)
  • Office of Foreign Assets Control (OFAC)
  • Securities and Exchange Commission (SEC)
• Detailed analytics and trend analysis
• Customizable dashboard with key metrics

4. News Aggregation

• Real-time regulatory news from multiple sources
• Curated content from legal and professional services firms
• RSS feed integration with major regulatory bodies
• Categorized news display with source verification

Technology Stack

• Frontend:

  • Next.js 14 (App Router)
  • React
  • TypeScript
  • Tailwind CSS
  • shadcn/ui components
  • Recharts for data visualization

• Backend:

  • Supabase (Database & Authentication)
  • OpenAI API
  • Pinecone (Vector Database)
  • Vercel (Deployment)

• APIs & Integration:

  • Ghost CMS for blog content
  • RSS Feed parsing
  • Multiple regulatory agency APIs

Getting Started

Prerequisites

• Node.js 18+
• npm or yarn
• Supabase account
• OpenAI API key
• Pinecone account
• Ghost CMS account (for blog functionality)

Environment Variables

Create a .env.local file in the root directory with the following variables:

# Supabase Configuration
NEXT_PUBLIC_SUPABASE_URL=your_supabase_url
NEXT_PUBLIC_SUPABASE_ANON_KEY=your_supabase_anon_key
SUPABASE_SERVICE_ROLE_KEY=your_service_role_key

# OpenAI Configuration
OPENAI_API_KEY=your_openai_api_key

# Pinecone Configuration
PINECONE_API_KEY=your_pinecone_api_key
PINECONE_INDEX_NAME=your_index_name

# Ghost CMS Configuration
GHOST_API_URL=your_ghost_url
GHOST_CONTENT_API_KEY=your_ghost_api_key

Installation

1. Clone the repository:

git clone https://github.com/your-username/regulation-365.git
cd regulation-365

2. Install dependencies:

npm install

3. Run the development server:

npm run dev

4. Open http://localhost:3000 in your browser

Database Setup

The application requires specific Supabase tables and schemas. Here are the main tables needed:

• federal_documents: Stores regulatory documents
• chat_logs: Stores chat interactions
• ea_cfpb: CFPB enforcement actions
• ea_fdic: FDIC enforcement actions
• ea_frb: Federal Reserve enforcement actions
• ea_occ: OCC enforcement actions

Detailed schema information is available in the database setup documentation.

Project Structure

regulation-365/
├── app/                    # Next.js app directory
│   ├── (admin)/           # Admin routes
│   ├── (home)/            # Public routes
│   ├── api/               # API routes
│   └── auth/              # Authentication routes
├── components/            # React components
│   ├── ea/                # Enforcement action components
│   ├── ui/                # UI components
│   └── ...
├── lib/                   # Utility libraries
├── public/               # Static files
├── types/                # TypeScript type definitions
└── utils/                # Utility functions