# Test Scenario 04: Financial Services - Regulatory Compliance Research

## 🏢 **Industry Context**: Financial Services
**Role**: Compliance Officer  
**Task**: Research financial regulations and compliance requirements for investment advisory services

## 📋 **Scenario Description**
You work as a compliance officer at a mid-size investment advisory firm. With changing regulations and recent updates to SEC requirements, you need to research current compliance standards, reporting obligations, and best practices to ensure the firm meets all regulatory requirements and avoids penalties.

## 🎯 **Your Mission (Completely Autonomous)**

### **Step 1: Setup FSS-Mini-RAG**
1. Read the repository README.md to understand how to install FSS-Mini-RAG
2. Follow the installation instructions for your platform
3. Verify the installation works by running `rag-mini --help`

### **Step 2: Gather Research Materials**
Create a folder called `financial-compliance-research` and populate it with relevant documentation:
- SEC regulations for investment advisors (forms ADV, compliance manuals)
- FINRA rules and requirements documentation
- Anti-money laundering (AML) and Know Your Customer (KYC) guidelines
- Fiduciary duty requirements and best practices
- Cybersecurity frameworks for financial institutions

**Sources to explore**:
- SEC.gov official guidance documents
- FINRA regulatory notices and requirements
- Financial industry compliance handbooks
- Cybersecurity frameworks (NIST, ISO 27001)
- Industry compliance best practices guides

### **Step 3: Index and Search**
1. Use FSS-Mini-RAG to index your `financial-compliance-research` folder
2. Perform searches to answer these questions:
   - "What are the reporting requirements for Form ADV updates?"
   - "How often must AML policies be reviewed and updated?"
   - "What cybersecurity measures are required for client data protection?"
   - "What documentation is required for demonstrating fiduciary duty?"
   - "What are the penalties for non-compliance with SEC regulations?"

### **Step 4: Document Your Findings**
Write your findings in `RESULTS.md` including:
- Key regulatory requirements and deadlines
- Compliance monitoring and reporting procedures
- Risk assessment and mitigation strategies
- Documentation and record-keeping requirements
- Training and certification needs for staff

### **Step 5: Evaluation**
Rate FSS-Mini-RAG's effectiveness for:
- Finding specific information across multiple documents
- Searching complex documentation efficiently
- Helping with research and analysis workflows
- Overall usefulness for financial services industry applications

## 📁 **Deliverables**
- `financial-compliance-research/` folder with research materials
- `RESULTS.md` with findings and FSS-Mini-RAG evaluation
- Documentation of your search queries and discoveries

## ⏱️ **Expected Duration**: 2-3 hours

## 🎓 **Learning Objectives**
- Test FSS-Mini-RAG with financial services industry content
- Evaluate search effectiveness with domain-specific documentation
- Assess usefulness for professional research workflows in financial services