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Applying MDA to Rule and Data Generation for Compliance Checking

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Software Technologies (ICSOFT 2016)

Part of the book series: Communications in Computer and Information Science ((CCIS,volume 743))

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Abstract

Compliance to regulations is a critical problem for enterprises. Increasing regulation and need for reduced time-to-market has led enterprises to look to technology to scale and automate their compliance efforts. Automated compliance checking approaches proposed in research need human experts to formally encode rules, as well as to extract the relevant data from enterprise data stores. We present a model-driven architecture (MDA) and method to semi-automate generation of formal rules and extraction of relevant data for compliance checking, based on OMG’s MDA methodology. We demonstrate how building a fact-oriented model of the regulation is central to both relating it to the enterprise as well as deriving formal specification of rules. We illustrate our approach using a real-life case study of the MiFID-2 financial regulation.

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Notes

  1. 1.

    Top Ten Problems Faced by Business, http://www.bmgi.com/resources/articles/top-ten-problems-faced-business.

  2. 2.

    MetricStream, http://www.metricstream.com/.

  3. 3.

    OpenCalais, http://www.opencalais.com/.

  4. 4.

    Stanford Encyclopedia of Philosophy: Model theory, http://plato.stanford.edu/entries/model-theory/.

  5. 5.

    Model Driven Architecture - A Technical Perspective, http://www.omg.org/cgi-bin/doc?ormsc/2001-07-01.

  6. 6.

    Model Driven Architecture - A Technical Perspective, http://www.omg.org/cgi-bin/doc?ormsc/2001-07-01.

  7. 7.

    Meta Object Facility (MOF) 2.0 Query/View/Transformation Specification, http://www.omg.org/spec/QVT/1.2/.

  8. 8.

    Production Rule Representation, http://www.omg.org/spec/PRR/.

  9. 9.

    Semantics of Business Vocabulary and Business Rules: Annex A: SBVR Structured English, http://www.omg.org/spec/SBVR/1.2/.

  10. 10.

    Semantics of Business Vocabulary and Business Rules, http://www.omg.org/spec/SBVR/1.2/.

  11. 11.

    IBM Eclipse Modeling Framework, http://www.eclipse.org/modeling/emf/.

  12. 12.

    Semantics of Business Vocabulary and Business Rules: Annex A: SBVR Structured English, http://www.omg.org/spec/SBVR/1.2/.

  13. 13.

    MiFID-2: http://ec.europa.eu/finance/securities/isd/mifid2/index_en.htm.

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Authors and Affiliations

  1. Tata Consultancy Services, Pune, India

    Deepali Kholkar, Sagar Sunkle & Vinay Kulkarni

Authors
  1. Deepali Kholkar
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  2. Sagar Sunkle
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  3. Vinay Kulkarni
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Corresponding author

Correspondence to Deepali Kholkar .

Editor information

Editors and Affiliations

  1. Edifici Ampliación del Rectorado, Universidad Rey Juan Carlos, Madrid, Spain

    Enrique Cabello

  2. Departamento de Engenharia Informática, Universidade de Coimbra, Coimbra, Portugal

    Jorge Cardoso

  3. Kühne Logistics University – KLU, Hamburg, Germany

    André Ludwig

  4. Wroclaw University of Economics, Wroclaw, Poland

    Leszek A. Maciaszek

  5. Information Systems Group, Enschede, The Netherlands

    Marten van Sinderen

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Kholkar, D., Sunkle, S., Kulkarni, V. (2017). Applying MDA to Rule and Data Generation for Compliance Checking. In: Cabello, E., Cardoso, J., Ludwig, A., Maciaszek, L., van Sinderen, M. (eds) Software Technologies. ICSOFT 2016. Communications in Computer and Information Science, vol 743. Springer, Cham. https://doi.org/10.1007/978-3-319-62569-0_12

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  • DOI: https://doi.org/10.1007/978-3-319-62569-0_12

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