99blakeD99/universal-fscompliance-mcp

Universal Financial Services Compliance MCP Server

A comprehensive Model Context Protocol (MCP) server providing AI-powered compliance intelligence for financial services regulatory requirements. Initially focused on the FCA Handbook with plans to expand to a universal standards engine supporting multiple regulatory frameworks.

🚀 Features

Current Tools (Implemented)

• quickly_check_compliance - Rapid compliance analysis for policy text or documents against FCA Handbook requirements
• identify_compliance_requirements_in_specific_case - Context-aware requirement extraction for specific business scenarios

Planned Tools (Roadmap)

• systematically_analyse_compliance_implications - Detailed strategic analysis with risk assessment and scoring
• prepare_draft_compliance_audit_report - Automated compliance evidence collection and audit report preparation
• map_relationships - Regulatory relationship visualization and impact analysis using graph technology
• validate_ground_truth - Quality validation and LLM performance benchmarking for compliance accuracy
• ingest_new_identified_standard - User-driven expansion to new regulatory standards beyond FCA Handbook
• update_identified_standard - Automatic monitoring and application of regulatory changes
• suggest_remediation - AI-powered gap remediation with actionable solutions and timelines

🎯 Use Cases

• Compliance Officers: Rapid policy analysis and gap identification
• Risk Managers: Systematic compliance implications assessment
• Regulatory Inspectors: Comprehensive audit preparation and evidence compilation
• Professional Advisers: Client-specific regulatory requirement identification
• AI Agent Developers: Plug-and-play compliance intelligence for financial services applications

🛠️ Installation

Prerequisites

• Python 3.11 or higher
• pip or uv package manager

Install from PyPI (Coming Soon)

pip install universal-fscompliance-mcp

Install from Source

git clone https://github.com/99blakeD99/universal-fscompliance-mcp.git
cd universal-fscompliance-mcp
pip install -e .

🚀 Usage

As an MCP Server

Add to your MCP client configuration:

{
  "servers": {
    "universal-fscompliance": {
      "command": "universal-fscompliance-mcp",
      "args": []
    }
  }
}

Direct Usage

# Start the MCP server
universal-fscompliance-mcp

# The server will run on stdio, ready to accept MCP protocol messages

📋 Available Tools

1. Quick Compliance Check

{
  "tool": "quickly_check_compliance",
  "arguments": {
    "content": "Our investment advisory service provides personalized recommendations...",
    "standard": "FCA Handbook"
  }
}

2. Identify Requirements

{
  "tool": "identify_compliance_requirements_in_specific_case",
  "arguments": {
    "case_description": "Investment needs of a 65-year-old single woman",
    "context": "Retirement planning advisory service",
    "limit": 10
  }
}

🏗️ Architecture

The server follows a layered architecture:

1. MCP Protocol Layer: JSON-RPC 2.0 compliant server
2. Tool Selection Layer: Intelligent tool routing based on natural language prompts
3. Compliance Analysis Layer: FCA Handbook knowledge processing with AI-powered analysis
4. Response Formatting Layer: Professional compliance report generation

🔧 Configuration

Environment Variables

• MCP_LOG_LEVEL: Set logging level (DEBUG, INFO, WARNING, ERROR)
• MCP_SERVER_PORT: Server port (default: stdio)

Customization

The server supports extending to additional regulatory standards through the planned ingest_new_identified_standard tool.

🤝 Contributing

We welcome contributions! Please see our for details.

Development Setup

git clone https://github.com/99blakeD99/universal-fscompliance-mcp.git
cd universal-fscompliance-mcp
pip install -e ".[dev]"

Running Tests

pytest tests/

📊 Roadmap

Phase 1: Core Implementation ✅

• Basic MCP server structure
• FCA Handbook integration
• Two foundational tools

Phase 2: Advanced Analysis (Q1 2025)

• Systematic compliance analysis
• Relationship mapping
• Audit report generation

Phase 3: Universal Standards Engine (Q2 2025)

• Multi-standard ingestion
• Automated standard updates
• Ground truth validation

Phase 4: Enterprise Features (Q3 2025)

• Advanced remediation suggestions
• Performance optimization
• Enterprise integrations

🔒 Security & Compliance

• All regulatory analysis requires professional review
• No customer data storage or transmission
• Comprehensive audit logging
• Privacy-by-design architecture

📄 License

This project is licensed under the MIT License - see the file for details.

🙋 Support

• Issues: GitHub Issues
• Discussions: GitHub Discussions
• Email:

📚 Documentation

🏗️ Project Context

This MCP server is a key component of the broader Universal_FSCompliance_MCP Project, a comprehensive open-source compliance intelligence platform for financial services.

For full project documentation, strategic context, and development roadmap, see: https://github.com/99blakeD99/Universal_FSCompliance_MCP

🌟 Acknowledgments

• Built with the Model Context Protocol
• Powered by Anthropic's Claude for AI analysis
• Initial focus on FCA Handbook requirements

Note: This is a community-contributed MCP server. While designed for professional use, all compliance analysis should be reviewed by qualified professionals before implementation.