Intelligent Financial Document Analysis for Regulatory Compliancy


ASTRI’s Financial Document Analysis (FDA) system provides an intelligent information cognition system to automatically analyze and extract key information from the financial documents, and conduct summary generation and compliance checking. It can enhance regulatory technology, and reduce Non-compliance costs and Manual checking processes.

  • Intelligent Financial Document Analysis for Regulatory Compliancy
Research completion
Commercialisation opportunities
IP licensing -Technology co-development
Problem addressed

The financial sector needs to handle various kinds of complex formatted documents. They need to understand, analyze and extract specific data information for regulatory compliance checking report generation, and disclosure requirements, etc. However, the existing manual checking process is slow, error-prone and labor-intensive.

  • A deep natural language processing engine to accurately extract entities, relationships, and event roles
  • Hybrid (table and text) data mining models to conduct structure process of the richly formatted documents
  • A document level event extraction to detect and extract the events scattered across the documents
  • A deep learning based end-to-end solution to enhance Regulatory Technology
Key impact
  • Automate and streamline the whole regulatory compliance checking process
  • Reduce manpower cost of manual checking process
  • Improve the operational efficiency
  • Reduce Non-compliance costs
  • Document Summary and Report Generation
  • Regulatory Compliance Checking
  • Enterprise Knowledge Graph
  • Information Consistency Checking
Hong Kong Applied Science and Technology Research Institute (ASTRI)

Hong Kong Applied Science and Technology Research Institute (ASTRI) was founded by the Government of the Hong Kong Special Administrative Region in 2000 with the mission of enhancing Hong Kong’s competitiveness through applied research. ASTRI’s core R&D competence in various areas is grouped under four Technology Divisions: Trust and AI Technologies; Communications Technologies; IoT Sensing and AI Technologies and Integrated Circuits and Systems. It is applied across six core areas which are Smart City, Financial Technologies, New-Industrialisation and Intelligent Manufacturing, Digital Health, Application Specific Integrated Circuits and Metaverse.