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ZENODO
Article . 2025
License: CC BY
Data sources: ZENODO
ZENODO
Article . 2025
License: CC BY
Data sources: Datacite
ZENODO
Article . 2025
License: CC BY
Data sources: Datacite
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Systematic Review of NLP-Driven Approaches for Compliance Gap Analysis in Regulatory Submissions

Authors: Kiran Kumar Gande*;

Systematic Review of NLP-Driven Approaches for Compliance Gap Analysis in Regulatory Submissions

Abstract

This paper is a literature review on how gaps in regulatory disclosures can be detected with the help of NLP techniques in 15 studies between 2019 and 2025. It has a discussion regarding transformer-based techniques, domain-based programs on NLP, and check programs on compliance in order to identify gaps in regulation. It has impressive development in automatic checking to achieve a level of 85-96% accuracy and a range of reduction in human review time of 65-85%. Open questions such as interpretability, complexity across jurisdiction, and deployment still remain. Research studies regarding explainable regulation-based AI, transfer learning, and common frameworks still require to be performed. It is a preliminary work in order to create a successful system in NLP to achieve regulatory compliance.

Keywords

Natural Language Processing, Regulatory Compliance, Gap Analysis, Transformer Models, Legal Document Analysis, Automated Compliance Checking, RegTech, BERT

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selected citations
These citations are derived from selected sources.
This is an alternative to the "Influence" indicator, which also reflects the overall/total impact of an article in the research community at large, based on the underlying citation network (diachronically).
BIP!Citations provided by BIP!
popularity
This indicator reflects the "current" impact/attention (the "hype") of an article in the research community at large, based on the underlying citation network.
BIP!Popularity provided by BIP!
influence
This indicator reflects the overall/total impact of an article in the research community at large, based on the underlying citation network (diachronically).
BIP!Influence provided by BIP!
impulse
This indicator reflects the initial momentum of an article directly after its publication, based on the underlying citation network.
BIP!Impulse provided by BIP!
0
Average
Average
Average