RESOLUTION BAZAAR

{

"agentName": "Regulatory Compliance and Reporting Agent (RCRA)",
"agentDescription": "Monitors corporate actions and ensures adherence to legal and regulatory requirements, particularly under relevant insolvency frameworks like India's Insolvency and Bankruptcy Code (IBC). Automates the preparation and facilitates the submission of mandatory reports, filings, and documentation to regulatory bodies (e.g., NCLT, IBBI) and stakeholders.",
"version": "1.0",
"status": "Conceptual",
"goals": [
  "Track all relevant statutory deadlines for filings and reporting under the applicable insolvency laws (e.g., IBC timelines).",
  "Maintain an up-to-date repository of required forms, templates, and reporting formats.",
  "Automate the population of regulatory forms using verified corporate data.",
  "Generate accurate reports for submission (e.g., List of Creditors, Asset Memorandums, Compliance Certificates, Progress Reports).",
  "Monitor corporate actions (e.g., transactions, resolutions) for potential compliance flags under insolvency regulations (e.g., preferential, undervalued transactions during look-back periods) - *for review by professionals, does not provide legal advice*.",
  "Maintain a comprehensive audit trail of compliance activities and report submissions.",
  "Facilitate timely submission of documents to relevant portals or authorities (where technically feasible through APIs or structured exports).",
  "Alert relevant users (e.g., Insolvency Professional, Legal team) about upcoming deadlines and potential compliance issues."
],
"keyCapabilities": [
  "Regulatory Knowledge Base: Stores and updates key provisions, timelines, and forms related to the relevant insolvency law (e.g., IBC, 2016 and subsequent regulations).",
  "Data Integration: Connects to internal systems (ERP, Finance, Legal) to pull necessary data for reporting.",
  "Template Management: Stores and manages official regulatory document templates.",
  "Automated Form Filling: Populates predefined fields in templates based on integrated data.",
  "Report Generation Engine: Creates structured reports in required formats (PDF, specified e-formats).",
  "Deadline Tracking & Alerting: Manages critical dates and sends reminders.",
  "Compliance Rule Engine (Basic): Applies predefined rules to flag potentially non-compliant actions for human review based on transaction data and timelines.",
  "Audit Trail Logging: Records all data pulls, report generation activities, user actions, and submission confirmations.",
  "Submission Formatting: Prepares data/documents in formats suitable for upload to regulatory portals (e.g., NCLT e-filing, IBBI reporting)."
],
"targetUsers": [
  "Insolvency Professionals (IPs) / Resolution Professionals (RPs)",
  "Liquidators",
  "Corporate Debtor's Compliance/Legal/Secretarial Teams",
  "Finance Departments supporting the IP/RP",
  "External Legal Counsel",
  "Turnaround Consultants"
],
"inputDataRequirements": [
  "Access to Corporate Financial Data (updated Balance Sheet, P&L, Cash Flow)",
  "Detailed List of Creditors (Financial, Operational, Secured, Unsecured, etc.) with claims data.",
  "Detailed Asset Register / Information Memorandum data.",
  "Employee Records and Dues information.",
  "Details of Transactions (especially within look-back periods defined by law).",
  "Copies of Key Contracts and Agreements.",
  "Board Resolutions and Meeting Minutes relevant to finance/insolvency.",
  "Official Regulatory Forms and Templates.",
  "Case specific information (e.g., Date of Commencement of Insolvency, NCLT Orders, specific instructions).",
  "User inputs for specific data points not available automatically."
],
"outputFormats": [
  "Completed Regulatory Forms (e.g., PDF, required e-filing formats)",
  "Compliance Checklists and Status Reports",
  "Specific reports required under law (e.g., List of Creditors, Asset Lists, Information Memorandum components, various Forms under IBC).",
  "Audit Logs and Activity Reports",
  "Deadline Calendars and Alert Notifications (Email, SMS, In-App)",
  "Structured data files (CSV, JSON, XML) formatted for submission portals."
],
"potentialBenefits": [
  "Ensures timely and accurate regulatory filings, avoiding penalties.",
  "Reduces manual effort and time spent on preparing repetitive reports.",
  "Improves consistency and accuracy of data across multiple submissions.",
  "Provides a centralized system for managing compliance obligations.",
  "Facilitates better oversight and monitoring for the Insolvency Professional/RP.",
  "Reduces risk of missing critical deadlines.",
  "Creates a reliable audit trail for regulatory scrutiny."
],
"requiredTools": [
  {
    "toolCategory": "Data Acquisition & Integration",
    "tools": [
      "Database Connectors (SQL - for ERP, Financial Systems)",
      "Spreadsheet Processing Libraries (e.g., Pandas, Apache POI)",
      "API Clients (for connecting to internal APIs)",
      "File Parsers (PDF parsers - potentially using OCR for scanned docs, XML/JSON parsers)"
    ]
  },
  {
    "toolCategory": "Data Processing & Management",
    "tools": [
      "Data Manipulation Libraries (e.g., Pandas, NumPy)",
      "Data Validation Libraries (e.g., Cerberus, Pydantic)"
    ]
  },
  {
    "toolCategory": "Rule Engine & Logic",
    "tools": [
      "Business Rule Management System (BRMS) (e.g., Drools, ODM) or Custom coded rule logic (Python/Java)",
      "Date/Time Libraries for accurate timeline calculations"
    ]
  },
  {
    "toolCategory": "Document & Report Generation",
    "tools": [
      "PDF Generation Libraries (e.g., ReportLab, iTextSharp, FPDF)",
      "Template Engines (e.g., Jinja2, Apache Velocity)",
      "Office Document Libraries (for reading/writing .docx, .xlsx - e.g., python-docx, openpyxl)"
    ]
  },
  {
    "toolCategory": "Data Storage",
    "tools": [
      "Relational Databases (e.g., PostgreSQL, MySQL - for structured data, rules, templates, audit logs)",
      "Document Databases (Optional, for storing templates or unstructured report data)"
    ]
  },
  {
    "toolCategory": "Workflow & Scheduling",
    "tools": [
      "Workflow Engines (e.g., Airflow, Prefect, Camunda)",
      "Task Schedulers (e.g., Cron, Windows Task Scheduler)"
    ]
  },
  {
    "toolCategory": "Alerting & Notification",
    "tools": [
      "Email Service APIs (e.g., SendGrid, AWS SES)",
      "SMS Gateway APIs (e.g., Twilio)"
    ]
  },
  {
    "toolCategory": "User Interface (If applicable)",
    "tools": [
      "Web Frameworks (e.g., Flask, Django, React, Angular)"
    ]
  },
   {
    "toolCategory": "External Integration (Optional)",
    "tools": [
      "APIs for E-filing portals (Highly dependent on availability and stability provided by regulatory bodies)"
    ]
  }
]

}