Securities Knowledge Base MCP

Securities Regulation KB

Not just search — understanding legal relationships

An intelligent knowledge base MCP covering all current regulations from CSRC, SSE, and SZSE. Automatically identifies complex legal relationships including abrogation, amendment, cross-referencing, and replacement. Real-time regulatory sync — making compliance research and legal retrieval truly accurate, complete, and traceable.

8 Legal Relationship Types Auto-Identified
Real-Time Sync from 3 Regulators
RAGless Zero-Hallucination Retrieval
Historical Regulatory State Rollback
MCP Protocol Direct Integration

Real-Time Regulatory Sync

When any of the three regulators issues new rules or updates existing documents, the knowledge base automatically ingests, parses relationships, and sends change notifications

New Rules Ingested in Real Time

New regulations and amendments published by CSRC, SSE, and SZSE are synced into the knowledge base in real time. After structural parsing and legal relationship mapping, they become immediately searchable — keeping the knowledge base consistent with official regulatory websites.

Amendment Change Push

When an existing rule is amended, the system automatically generates a clause-level change summary noting additions, deletions, and repeals, then pushes it to users subscribed to the relevant rule — helping compliance teams assess business impact at the earliest opportunity.

Historical Version Archiving

Every version prior to an update is automatically archived and permanently accessible. Supports retroactive queries of regulatory status at any historical point in time — meeting requirements for retrospective compliance audits and historical case research.

New Rule Published → Knowledge Base Ready — Full Pipeline
Regulator Publishes
Real-Time Detection
Structured Parsing
Legal Relationship Mapping
Version Diff Generated
Knowledge Base Ready

Data Coverage

Three major regulators · All currently effective documents · Continuously updated in real time

China Securities Regulatory Commission (CSRC)

  • Securities Law, Securities Investment Fund Law and all implementing regulations
  • Listed Company Supervision Rules Compilation (Volumes 1–12)
  • Information Disclosure Management Measures and various reporting standards
  • Enforcement rules on insider trading, market manipulation, and fraudulent issuance
  • Full regulatory framework for public and private funds
  • Registration-based IPO reform supporting policy documents
  • Securities company and futures company supervision rules
  • Regulatory Q&As and typical violation case bulletins

Shanghai Stock Exchange (SSE)

  • Stock Listing Rules (Main Board, STAR Market)
  • Bond listing rules and depositary receipt rules
  • Information Disclosure Business Guidelines (full series)
  • Corporate governance and shareholders meeting guidelines
  • Stock options and ETF options business rules
  • Listed company continuous supervision rules
  • Regulatory Q&As and typical inquiry letter cases
  • Self-regulatory guidance and business manuals

Shenzhen Stock Exchange (SZSE)

  • Stock Listing Rules (Main Board, ChiNext)
  • Innovative and entrepreneurial company bond rules
  • Information Disclosure Work Guidelines (full series)
  • Listed company standardized operation guidelines
  • Trading surveillance and abnormal trading rules
  • Independent director duty-performance guidelines
  • Regulatory letters and typical violation cases
  • Business handling guides and Q&A compilations
Underlying Technology: Archive Manager RAGless

Why Legal Retrieval Cannot Use Traditional RAG

Traditional RAG slices legal documents into fixed-length text chunks before vectorizing. But legal provisions are highly context-dependent — the same clause can mean different things in different sections. Slicing breaks that meaning, making hallucinated citations highly likely.

RAGless technology preserves the complete chapter structure of regulations via a hierarchical tree index. LLMs reason over the directory tree in multiple steps — like a lawyer consulting a document — to precisely locate relevant clauses, returning complete original text rather than fragments.

Full clause text — context never truncated
Chapter hierarchy fully preserved
Multi-step reasoning for precision — no vector drift
Cited article numbers accurate and verifiable
Traditional RAG
  • Documents sliced into 512-token chunks
  • Clause context severed
  • Vector similarity — semantic drift
  • Returns fragments; citations unverifiable
RAGless (this system)
  • Full chapter structure indexed
  • Clause context fully preserved
  • LLM multi-step reasoning for precise targeting
  • Returns full clause text + exact article number

Use Cases

Serving the full chain of professional needs in the securities industry

Compliance Due Diligence

In IPO/re-financing projects, lawyers and sponsors must verify that the issuer satisfies all listing conditions and ongoing compliance requirements. The system automatically aggregates applicable provisions, flags the currently effective version, and highlights recent amendments — compressing days of manual research to minutes.

Regulatory Update Monitoring

When any of the three regulatory bodies issues new rules or amends existing ones, the knowledge base updates in real time and pushes change summaries. Compliance teams are immediately informed of shifting regulatory guidance and can assess business impact — no manual monitoring of official websites required.

Legal Research & Drafting

When securities lawyers draft legal opinions, the system automatically retrieves the original text of relevant provisions, full revision history, and superior legal basis — and generates complete citation format (document name, clause number, effective date) to ensure accurate, traceable references.

Compliance AI Agent Enhancement

Inject authoritative regulatory knowledge into your internal compliance Agent via MCP protocol. It can accurately answer questions like "what does this transaction require to disclose?" and "has this clause changed in the latest revision?" — eliminating hallucinated answers.

Integrate the Securities Regulation Knowledge Base

Inject authoritative securities regulation knowledge — including a complete legal relationship graph and real-time regulatory updates — into your compliance systems and AI Agents via MCP protocol.