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fss-mini-rag-github/agent-user-testing/04-financial-compliance/INSTRUCTIONS.md
FSSCoding a08e2b4001 Add comprehensive agent user testing scenarios 
- Created 15 real-world test scenarios across diverse industries
- Each scenario includes autonomous instructions and results placeholders
- Industries covered: engineering, healthcare, finance, education, tech, agriculture
- Scenarios test FSS-Mini-RAG with authentic professional use cases
- Complete deployment guide and validation tools included
- Ready for agent delegation and execution

Scenarios range from mechanical engineering CAD standards to
cybersecurity compliance, ensuring broad market validation.
2025-09-07 17:20:58 +10:00

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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