NLP-based Regulatory Compliance -- Using GPT 4.0 to Decode Regulatory Documents

Large Language Models (LLMs) such as GPT-4.0 have shown significant promise in addressing the semantic complexities of regulatory documents, particularly in detecting inconsistencies and contradictions. This study evaluates GPT-4.0's ability to identify conflicts within regulatory requirements by analyzing a curated corpus with artificially injected ambiguities and contradictions, designed in collaboration with architects and compliance engineers. Using metrics such as precision, recall, and F1 score, the experiment demonstrates GPT-4.0's effectiveness in detecting inconsistencies, with findings validated by human experts. The results highlight the potential of LLMs to enhance regulatory compliance processes, though further testing with larger datasets and domain-specific fine-tuning is needed to maximize accuracy and practical applicability. Future work will explore automated conflict resolution and real-world implementation through pilot projects with industry partners.

Controlling Out-of-Domain Gaps in LLMs for Genre Classification and Generated Text Detection

This study demonstrates that the modern generation of Large Language Models (LLMs, such as GPT-4) suffers from the same out-of-domain (OOD) performance gap observed in prior research on pre-trained Language Models (PLMs, such as BERT). We demonstrate this across two non-topical classification tasks: 1) genre classification and 2) generated text detection. Our results show that when demonstration examples for In-Context Learning (ICL) come from one domain (e.g., travel) and the system is tested on another domain (e.g., history), classification performance declines significantly. To address this, we introduce a method that controls which predictive indicators are used and which are excluded during classification. For the two tasks studied here, this ensures that topical features are omitted, while the model is guided to focus on stylistic rather than content-based attributes. This approach reduces the OOD gap by up to 20 percentage points in a few-shot setup. Straightforward Chain-of-Thought (CoT) methods, used as the baseline, prove insufficient, while our approach consistently enhances domain transfer performance.

BERT Goes Off-Topic: Investigating the Domain Transfer Challenge using Genre Classification

While performance of many text classification tasks has been recently improved due to Pre-trained Language Models (PLMs), in this paper we show that they still suffer from a performance gap when the underlying distribution of topics changes. For example, a genre classifier trained on \textit{political} topics often fails when tested on documents about \textit{sport} or \textit{medicine}. In this work, we quantify this phenomenon empirically with a large corpus and a large set of topics. Consequently, we verify that domain transfer remains challenging both for classic PLMs, such as BERT, and for modern large models, such as GPT-3. We also suggest and successfully test a possible remedy: after augmenting the training dataset with topically-controlled synthetic texts, the F1 score improves by up to 50\% for some topics, nearing on-topic training results, while others show little to no improvement. While our empirical results focus on genre classification, our methodology is applicable to other classification tasks such as gender, authorship, or sentiment classification. The code and data to replicate the experiments are available at https://github.com/dminus1/genre