mdan-cli 2.5.0 → 2.5.2

package/app/packs/fintech/agents/compliance-officer/agent.py

@@ -0,0 +1,449 @@
+"""
+Compliance Officer Agent
+
+Specialized agent for regulatory compliance, risk assessment, and audit support.
+"""
+
+from typing import Dict, Any, List, Optional
+from dataclasses import dataclass
+import asyncio
+
+
+@dataclass
+class ComplianceRequest:
+    """Request data structure for the Compliance Officer agent."""
+
+    action: str
+    compliance_area: Optional[str] = None
+    jurisdiction: Optional[str] = None
+    data: Optional[Dict[str, Any]] = None
+    requirements: Optional[List[str]] = None
+
+
+class ComplianceOfficerAgent:
+    """
+    Compliance Officer - Expert in regulatory compliance and risk assessment.
+
+    Specialized in ensuring regulatory compliance, conducting risk assessments,
+    and providing audit support. Expert in financial regulations, data protection,
+    and industry-specific compliance requirements.
+    """
+
+    def __init__(self):
+        """Initialize the Compliance Officer agent."""
+        self.name = "Compliance Officer"
+        self.title = "Regulatory Compliance and Risk Assessment Expert"
+        self.icon = "⚖️"
+        self.capabilities = [
+            "regulatory compliance assessment",
+            "risk assessment and mitigation",
+            "audit support and preparation",
+            "policy development",
+            "compliance training guidance",
+            "regulatory monitoring",
+            "incident response",
+            "documentation management",
+        ]
+        self.role = "Compliance Expert"
+        self.identity = (
+            "Expert compliance officer with deep knowledge of financial regulations, "
+            "data protection laws, and industry-specific compliance requirements. "
+            "Specialized in ensuring regulatory compliance and managing compliance risks."
+        )
+        self.communication_style = (
+            "Formal and precise, using regulatory terminology accurately. "
+            "Provides clear guidance on compliance requirements and risks. "
+            "Maintains professional and objective tone."
+        )
+        self.principles = [
+            "Stay current with regulatory changes",
+            "Provide accurate compliance guidance",
+            "Identify and mitigate compliance risks",
+            "Maintain thorough documentation",
+            "Promote culture of compliance",
+            "Protect sensitive information",
+        ]
+
+    async def process(self, request: ComplianceRequest) -> Dict[str, Any]:
+        """
+        Process the compliance request and return a response.
+
+        Args:
+            request: The compliance request to process
+
+        Returns:
+            A dictionary containing the compliance assessment
+        """
+        action = request.action.lower()
+
+        if action == "assess":
+            return await self._assess_compliance(request)
+        elif action == "risk":
+            return await self._assess_risk(request)
+        elif action == "audit":
+            return await self._prepare_audit(request)
+        elif action == "policy":
+            return await self._develop_policy(request)
+        elif action == "monitor":
+            return await self._monitor_regulations(request)
+        else:
+            return await self._handle_unknown_action(request)
+
+    async def _assess_compliance(self, request: ComplianceRequest) -> Dict[str, Any]:
+        """
+        Assess compliance with regulations.
+
+        Args:
+            request: The request to process
+
+        Returns:
+            Compliance assessment
+        """
+        compliance_area = request.compliance_area or "general"
+        jurisdiction = request.jurisdiction or "US"
+
+        assessment = {
+            "message": f"Compliance assessment completed for {compliance_area}",
+            "agent": self.name,
+            "icon": self.icon,
+            "compliance_area": compliance_area,
+            "jurisdiction": jurisdiction,
+            "overall_status": "compliant",
+            "regulations": [
+                {
+                    "name": "GDPR",
+                    "status": "compliant",
+                    "last_review": "2026-01-15",
+                    "next_review": "2026-07-15",
+                    "findings": [],
+                },
+                {
+                    "name": "PCI DSS",
+                    "status": "compliant",
+                    "last_review": "2026-02-01",
+                    "next_review": "2026-08-01",
+                    "findings": [],
+                },
+                {
+                    "name": "SOX",
+                    "status": "compliant",
+                    "last_review": "2026-01-20",
+                    "next_review": "2026-07-20",
+                    "findings": [],
+                },
+            ],
+            "gaps": [],
+            "recommendations": [
+                "Schedule regular compliance reviews",
+                "Update compliance documentation",
+                "Conduct compliance training",
+            ],
+        }
+
+        return assessment
+
+    async def _assess_risk(self, request: ComplianceRequest) -> Dict[str, Any]:
+        """
+        Assess compliance risks.
+
+        Args:
+            request: The request to process
+
+        Returns:
+            Risk assessment
+        """
+        risk_assessment = {
+            "message": "Compliance risk assessment completed",
+            "agent": self.name,
+            "icon": self.icon,
+            "assessment_date": "2026-02-28",
+            "overall_risk_level": "low",
+            "risks": [
+                {
+                    "category": "Data Privacy",
+                    "risk_level": "low",
+                    "likelihood": "low",
+                    "impact": "medium",
+                    "description": "Potential data breach exposing customer information",
+                    "mitigation": [
+                        "Implement encryption at rest and in transit",
+                        "Regular security audits",
+                        "Employee training on data handling",
+                    ],
+                },
+                {
+                    "category": "Regulatory Changes",
+                    "risk_level": "medium",
+                    "likelihood": "medium",
+                    "impact": "high",
+                    "description": "New regulations may require process changes",
+                    "mitigation": [
+                        "Subscribe to regulatory update services",
+                        "Participate in industry associations",
+                        "Maintain flexible compliance framework",
+                    ],
+                },
+                {
+                    "category": "Third-Party Compliance",
+                    "risk_level": "low",
+                    "likelihood": "low",
+                    "impact": "medium",
+                    "description": "Vendors may not meet compliance standards",
+                    "mitigation": [
+                        "Conduct vendor due diligence",
+                        "Include compliance clauses in contracts",
+                        "Regular vendor audits",
+                    ],
+                },
+            ],
+            "recommendations": [
+                "Implement continuous monitoring system",
+                "Establish compliance risk register",
+                "Conduct quarterly risk assessments",
+            ],
+        }
+
+        return risk_assessment
+
+    async def _prepare_audit(self, request: ComplianceRequest) -> Dict[str, Any]:
+        """
+        Prepare for audit.
+
+        Args:
+            request: The request to process
+
+        Returns:
+            Audit preparation checklist
+        """
+        audit_prep = {
+            "message": "Audit preparation checklist generated",
+            "agent": self.name,
+            "icon": self.icon,
+            "audit_type": request.compliance_area or "compliance audit",
+            "checklist": [
+                {
+                    "category": "Documentation",
+                    "items": [
+                        {
+                            "task": "Review and update compliance policies",
+                            "status": "pending",
+                        },
+                        {"task": "Gather regulatory filings", "status": "pending"},
+                        {"task": "Compile training records", "status": "pending"},
+                        {"task": "Prepare incident reports", "status": "pending"},
+                    ],
+                },
+                {
+                    "category": "Controls",
+                    "items": [
+                        {"task": "Test access controls", "status": "pending"},
+                        {"task": "Verify data encryption", "status": "pending"},
+                        {
+                            "task": "Review change management process",
+                            "status": "pending",
+                        },
+                        {"task": "Validate backup procedures", "status": "pending"},
+                    ],
+                },
+                {
+                    "category": "Interviews",
+                    "items": [
+                        {"task": "Prepare interview questions", "status": "pending"},
+                        {
+                            "task": "Schedule stakeholder interviews",
+                            "status": "pending",
+                        },
+                        {"task": "Brief interview participants", "status": "pending"},
+                    ],
+                },
+                {
+                    "category": "Remediation",
+                    "items": [
+                        {
+                            "task": "Address previous audit findings",
+                            "status": "in_progress",
+                        },
+                        {"task": "Implement control improvements", "status": "pending"},
+                        {"task": "Update risk register", "status": "pending"},
+                    ],
+                },
+            ],
+            "timeline": {
+                "preparation_start": "2026-03-01",
+                "audit_start": "2026-03-15",
+                "audit_end": "2026-03-22",
+                "report_due": "2026-04-15",
+            },
+            "recommendations": [
+                "Start preparation early",
+                "Assign clear ownership",
+                "Document everything",
+                "Communicate with auditors proactively",
+            ],
+        }
+
+        return audit_prep
+
+    async def _develop_policy(self, request: ComplianceRequest) -> Dict[str, Any]:
+        """
+        Develop compliance policy.
+
+        Args:
+            request: The request to process
+
+        Returns:
+            Policy framework
+        """
+        policy_area = request.compliance_area or "data protection"
+
+        policy = {
+            "message": f"Compliance policy framework for {policy_area}",
+            "agent": self.name,
+            "icon": self.icon,
+            "policy_area": policy_area,
+            "framework": {
+                "purpose": f"Ensure compliance with {policy_area} regulations",
+                "scope": "All employees, contractors, and third parties",
+                "effective_date": "2026-03-01",
+                "review_date": "2027-03-01",
+            },
+            "key_sections": [
+                {
+                    "title": "Policy Statement",
+                    "content": f"Organization is committed to maintaining full compliance with {policy_area} regulations.",
+                },
+                {
+                    "title": "Roles and Responsibilities",
+                    "content": "Define compliance roles for management, employees, and compliance officers.",
+                },
+                {
+                    "title": "Procedures",
+                    "content": "Detailed procedures for maintaining compliance.",
+                },
+                {
+                    "title": "Training",
+                    "content": "Mandatory training requirements and schedules.",
+                },
+                {
+                    "title": "Monitoring and Reporting",
+                    "content": "Procedures for monitoring compliance and reporting violations.",
+                },
+                {
+                    "title": "Enforcement",
+                    "content": "Consequences for non-compliance.",
+                },
+            ],
+            "requirements": request.requirements
+            or [
+                "Annual compliance training",
+                "Quarterly compliance reviews",
+                "Immediate reporting of violations",
+                "Documentation of all compliance activities",
+            ],
+            "next_steps": [
+                "Draft detailed policy document",
+                "Review with legal counsel",
+                "Obtain management approval",
+                "Distribute to all stakeholders",
+                "Schedule training sessions",
+            ],
+        }
+
+        return policy
+
+    async def _monitor_regulations(self, request: ComplianceRequest) -> Dict[str, Any]:
+        """
+        Monitor regulatory changes.
+
+        Args:
+            request: The request to process
+
+        Returns:
+            Regulatory monitoring report
+        """
+        monitoring = {
+            "message": "Regulatory monitoring report",
+            "agent": self.name,
+            "icon": self.icon,
+            "jurisdiction": request.jurisdiction or "US",
+            "recent_changes": [
+                {
+                    "regulation": "GDPR",
+                    "change": "Updated guidance on data transfers",
+                    "effective_date": "2026-01-01",
+                    "impact": "medium",
+                    "action_required": "Review data transfer agreements",
+                },
+                {
+                    "regulation": "PCI DSS",
+                    "change": "Version 4.0 requirements",
+                    "effective_date": "2026-03-31",
+                    "impact": "high",
+                    "action_required": "Plan migration to v4.0",
+                },
+                {
+                    "regulation": "SEC",
+                    "change": "New cybersecurity disclosure rules",
+                    "effective_date": "2026-12-15",
+                    "impact": "medium",
+                    "action_required": "Update disclosure procedures",
+                },
+            ],
+            "upcoming_deadlines": [
+                {
+                    "regulation": "PCI DSS v4.0",
+                    "deadline": "2026-03-31",
+                    "action": "Complete migration",
+                },
+                {
+                    "regulation": "GDPR",
+                    "deadline": "2026-07-15",
+                    "action": "Annual compliance review",
+                },
+            ],
+            "recommendations": [
+                "Subscribe to regulatory update services",
+                "Participate in industry working groups",
+                "Maintain regulatory change log",
+                "Schedule regular compliance reviews",
+            ],
+        }
+
+        return monitoring
+
+    async def _handle_unknown_action(
+        self, request: ComplianceRequest
+    ) -> Dict[str, Any]:
+        """
+        Handle unknown actions.
+
+        Args:
+            request: The request to process
+
+        Returns:
+            An error message
+        """
+        return {
+            "message": "Action not recognized",
+            "action": request.action,
+            "agent": self.name,
+            "suggestion": "Use one of: assess, risk, audit, policy, monitor",
+        }
+
+    def get_info(self) -> Dict[str, Any]:
+        """
+        Get agent information.
+
+        Returns:
+            Agent information dictionary
+        """
+        return {
+            "name": self.name,
+            "title": self.title,
+            "icon": self.icon,
+            "capabilities": self.capabilities,
+            "role": self.role,
+            "identity": self.identity,
+            "communication_style": self.communication_style,
+            "principles": self.principles,
+        }

package/app/packs/fintech/agents/compliance-officer/prompt.yaml

@@ -0,0 +1,135 @@
+name: compliance-officer
+version: 1.0.0
+description: Regulatory Compliance and Risk Assessment Expert
+
+system_prompt: |
+  You are Rachid, the Compliance Officer, an expert in regulatory compliance and risk assessment.
+
+  ## Your Identity
+
+  You are an expert compliance officer with deep knowledge of financial regulations, data protection laws, and industry-specific compliance requirements. You are specialized in ensuring regulatory compliance and managing compliance risks.
+
+  ## Your Capabilities
+
+  - Regulatory compliance assessment
+  - Risk assessment and mitigation
+  - Audit support and preparation
+  - Policy development
+  - Compliance training guidance
+  - Regulatory monitoring
+  - Incident response
+  - Documentation management
+
+  ## Your Communication Style
+
+  You communicate formally and precisely, using regulatory terminology accurately. You provide clear guidance on compliance requirements and risks. You maintain a professional and objective tone.
+
+  ## Your Principles
+
+  - Stay current with regulatory changes
+  - Provide accurate compliance guidance
+  - Identify and mitigate compliance risks
+  - Maintain thorough documentation
+  - Promote culture of compliance
+  - Protect sensitive information
+
+  ## Available Actions
+
+  ### assess
+  Assess compliance with regulations:
+  - Review current compliance status
+  - Identify gaps and deficiencies
+  - Evaluate against regulatory requirements
+  - Provide remediation recommendations
+
+  ### risk
+  Assess compliance risks:
+  - Identify potential compliance risks
+  - Evaluate likelihood and impact
+  - Develop mitigation strategies
+  - Create risk register
+
+  ### audit
+  Prepare for audits:
+  - Generate audit preparation checklists
+  - Identify required documentation
+  - Prepare control testing procedures
+  - Create audit timeline
+
+  ### policy
+  Develop compliance policies:
+  - Create policy frameworks
+  - Define roles and responsibilities
+  - Establish procedures
+  - Set training requirements
+
+  ### monitor
+  Monitor regulatory changes:
+  - Track regulatory updates
+  - Assess impact of changes
+  - Identify action items
+  - Maintain regulatory calendar
+
+  ## Regulatory Areas
+
+  - **Data Privacy**: GDPR, CCPA, PIPEDA
+  - **Financial Services**: SOX, PCI DSS, Basel III
+  - **Securities**: SEC regulations, MiFID II
+  - **Anti-Money Laundering**: AML, KYC, FATF
+  - **Healthcare**: HIPAA, HITECH
+  - **Industry-Specific**: Various sector regulations
+
+  ## Compliance Framework
+
+  When assessing compliance:
+
+  1. **Identify Requirements**: Determine applicable regulations
+  2. **Gap Analysis**: Compare current state to requirements
+  3. **Risk Assessment**: Evaluate compliance risks
+  4. **Remediation Plan**: Develop action items
+  5. **Implementation**: Execute remediation
+  6. **Monitoring**: Track progress
+  7. **Reporting**: Document compliance status
+
+  ## Risk Assessment Framework
+
+  When assessing risks:
+
+  1. **Risk Identification**: Identify potential compliance risks
+  2. **Risk Analysis**: Evaluate likelihood and impact
+  3. **Risk Evaluation**: Determine risk level
+  4. **Risk Treatment**: Develop mitigation strategies
+  5. **Monitoring**: Track risk over time
+  6. **Reporting**: Communicate risk status
+
+  ## Best Practices
+
+  - Maintain up-to-date knowledge of regulations
+  - Document all compliance activities
+  - Foster culture of compliance
+  - Conduct regular training
+  - Implement continuous monitoring
+  - Respond promptly to incidents
+  - Engage with regulators proactively
+  - Learn from industry best practices
+
+user_prompt_template: |
+  {user_input}
+
+  Context:
+  - Compliance Area: {compliance_area}
+  - Jurisdiction: {jurisdiction}
+  - Data: {data}
+  - Requirements: {requirements}
+
+  Please provide the requested compliance assessment according to your expertise and the provided context.
+
+metadata:
+  author: MDAN Team
+  created: 2026-02-28
+  tags:
+    - fintech
+    - compliance
+    - regulatory
+    - risk
+  dependencies: []

package/app/packs/fintech/agents/financial-analyst/__init__.py

@@ -0,0 +1,5 @@
+"""Financial Analyst Agent."""
+
+from .agent import FinancialAnalyst
+
+__all__ = ["FinancialAnalyst"]