RegGuard MCP Server

RegGuard MCP Server 🛡️

AI-Enhanced Financial Marketing Compliance Server using Model Context Protocol (MCP)

RegGuard is a sophisticated MCP (Model Context Protocol) server that provides AI-powered regulatory compliance checking for financial marketing content. It leverages OpenAI's GPT-4o-mini model combined with jurisdiction-specific regulatory knowledge to detect violations across multiple financial markets.

🎯 What Does RegGuard Do?

RegGuard acts as an intelligent compliance assistant that:

• 🔍 Analyzes Marketing Content: Uses AI to scan financial marketing materials for regulatory violations
• 🌍 Multi-Jurisdiction Support: Covers Singapore (SG), Hong Kong (HK), UAE (AE), and India (IN) regulations
• ⚡ Real-time Compliance Checking: Integrates seamlessly with AI assistants like Claude and Cursor
• 📋 Automatic Disclaimer Insertion: Intelligently places required regulatory disclaimers
• 📊 Audit Trail Generation: Maintains tamper-proof logs of all compliance checks
• 🎯 Contextual AI Analysis: Goes beyond pattern matching to understand regulatory nuances

🧠 Key Concepts & Educational Resources

Understanding MCP (Model Context Protocol)

• MCP Official Documentation - Learn about the open standard for connecting AI assistants to external systems
• MCP GitHub Repository - Technical specification and examples
• Building MCP Servers - Anthropic Guide - Step-by-step guide to creating MCP servers

Financial Regulatory Compliance Basics

• MAS Guidelines on Fair Dealing (Singapore) - Singapore's financial marketing regulations
• SFC Investment Advertisement Guidelines (Hong Kong) - Hong Kong securities marketing rules
• DFSA Conduct Rules (UAE) - Dubai financial services regulations
• SEBI Guidelines (India) - Securities and Exchange Board of India regulations

AI-Powered Compliance Technology

• OpenAI API Documentation - Understanding GPT-4o-mini integration
• Financial AI Compliance Overview - Industry insights on AI in finance
• RegTech Explained - Introduction to regulatory technology

🚀 Quick Start Guide

Prerequisites

• Python 3.8+ (Download Python)
• OpenAI API Key (Get API Key)
• Git (Install Git)

1. Clone and Setup

# Clone the repository
git clone https://github.com/your-username/regguard-mcp.git
cd regguard-mcp

# Create virtual environment (recommended)
python -m venv regguard-env
source regguard-env/bin/activate  # On Windows: regguard-env\Scripts\activate

# Install dependencies
pip install -r requirements.txt

2. Configure API Key

Create a .env file in the project root:

# Create .env file
echo 'OPENAI_API_KEY="your-openai-api-key-here"' > .env

Important: Never commit your actual API key to GitHub!

3. Test the Server

# Test server functionality
python test_server.py

# Test AI integration
python test_ai_client.py

# Run example usage
python example_usage.py

🔌 How to Use RegGuard MCP Server

Option 1: Claude Desktop Integration (Recommended)

1. Install Claude Desktop (Download here)

2. Configure MCP Settings:

   • Open Claude Desktop settings
   • Navigate to "Developer" > "MCP Servers"
   • Add the following configuration:

{
  "mcpServers": {
    "regguard": {
      "command": "python",
      "args": ["-m", "src.regguard.server"],
      "cwd": "/full/path/to/regguard-mcp",
      "env": {
        "OPENAI_API_KEY": "your-openai-api-key-here"
      }
    }
  }
}

3. Start Using:

   @regguard Please check this marketing copy for Singapore compliance:
   "Our investment product guarantees 15% annual returns with zero risk!"
   

Option 2: Cursor IDE Integration

1. Install Cursor (Download here)

2. Configure MCP in Workspace: Add to your Cursor workspace setti