assert-review 0.1.2

LLM-based compliance note evaluation for financial services

assert-review

LLM-based compliance note evaluation for financial services.

Evaluates adviser suitability notes against regulatory framework definitions (FCA, MiFID II, etc.), returning structured gap reports with per-element scores, evidence quotes, and actionable remediation suggestions. No PyTorch, no BERT, no heavy dependencies.

⚠️ Experimental — do not use in live or production systems.

Outputs are non-deterministic (LLM-based) and have not been validated against real regulatory decisions. This package is intended for research, prototyping, and internal tooling only. It is not a substitute for qualified compliance review and must not be used to make or support live regulatory or client-facing decisions.

Installation

pip install assert-review

Quick Start

from assert_review import evaluate_note, LLMConfig

config = LLMConfig(
    provider="bedrock",
    model_id="us.amazon.nova-pro-v1:0",
    region="us-east-1",
)

report = evaluate_note(
    note_text="Client meeting note text goes here...",
    framework="fca_suitability_v1",
    llm_config=config,
)

print(report.overall_rating)   # "Compliant" / "Minor Gaps" / "Requires Attention" / "Non-Compliant"
print(report.overall_score)    # 0.0–1.0
print(report.passed)           # True / False

for item in report.items:
    print(f"{item.element_id}: {item.status} (score: {item.score:.2f})")
    if item.suggestions:
        for s in item.suggestions:
            print(f"  → {s}")

evaluate_note()

Full parameter reference:

from assert_review import evaluate_note, LLMConfig, PassPolicy

report = evaluate_note(
    note_text=note,
    framework="fca_suitability_v1",   # built-in ID or path to a custom YAML
    llm_config=config,
    verbose=False,                     # include LLM reasoning in GapItem.notes
    custom_instruction=None,           # additional instruction appended to all element prompts
    pass_policy=None,                  # custom PassPolicy (see below)
    metadata={"note_id": "N-001"},     # arbitrary key/value pairs, passed through to GapReport
)

GapReport

Field	Type	Description
framework_id	str	Framework used for evaluation
framework_version	str	Framework version
passed	bool	Whether the note passes the framework's policy thresholds
overall_score	float	Weighted mean element score, 0.0–1.0
overall_rating	str	Human-readable compliance rating (see below)
items	List[GapItem]	Per-element evaluation results
summary	str	LLM-generated narrative summary of the evaluation
stats	GapReportStats	Counts by status and severity
metadata	dict	Caller-supplied metadata, passed through unchanged

Overall rating values:

Rating	Meaning
Compliant	Passed — all elements fully present
Minor Gaps	Passed — but some elements are partial or optional elements missing
Requires Attention	Failed — high/medium gaps, no critical blockers
Non-Compliant	Failed — one or more critical required elements missing or below threshold

GapItem

Field	Type	Description
element_id	str	Element identifier from the framework
status	str	"present", "partial", or "missing"
score	float	0.0–1.0 quality score for this element
evidence	Optional[str]	Quote or paraphrase from the note supporting the assessment. None when element is missing.
severity	str	"critical", "high", "medium", or "low"
required	bool	Whether this element is required by the framework
suggestions	List[str]	Actionable remediation suggestions (empty when status == "present")
notes	Optional[str]	LLM reasoning (only populated when verbose=True)

Verbose Output

Pass verbose=True to include per-element LLM reasoning in GapItem.notes:

report = evaluate_note(
    note_text=note,
    framework="fca_suitability_v1",
    llm_config=config,
    verbose=True,
)

for item in report.items:
    if item.notes:
        print(f"{item.element_id}: {item.notes}")

Custom Evaluation Instructions

Append additional instructions to all element prompts for domain-specific guidance:

report = evaluate_note(
    note_text=note,
    framework="fca_suitability_v1",
    llm_config=config,
    custom_instruction="This note relates to a high-net-worth client with complex tax considerations. Apply stricter standards for risk and objectives documentation.",
)

Configurable Pass Policy

Override the default pass/fail thresholds:

from assert_review import PassPolicy

policy = PassPolicy(
    critical_partial_threshold=0.5,      # partial critical element treated as blocker if score < this
    required_pass_threshold=0.6,         # required element must score >= this to pass
    score_correction_missing_cutoff=0.2,
    score_correction_present_min=0.5,
    score_correction_present_floor=0.7,
)

report = evaluate_note(
    note_text=note,
    framework="fca_suitability_v1",
    llm_config=config,
    pass_policy=policy,
)

Bundled Frameworks

Framework ID	Description
fca_suitability_v1	FCA suitability note requirements under COBS 9.2 / PS13/1 (9 elements)

Custom Frameworks

Pass a path to your own YAML file:

report = evaluate_note(
    note_text=note,
    framework="/path/to/my_framework.yaml",
    llm_config=config,
)

The YAML schema mirrors the built-in frameworks. See packages/assert-review/assert_review/frameworks/fca_suitability_v1.yaml in the source repo for a reference example.

CLI

# Evaluate a single note
assert-review evaluate note.txt --framework fca_suitability_v1

# Output as JSON
assert-review evaluate note.txt --framework fca_suitability_v1 --output json

# Batch evaluate from CSV
assert-review batch notes.csv --framework fca_suitability_v1 --note-column text

# Use OpenAI instead of Bedrock
assert-review evaluate note.txt --framework fca_suitability_v1 \
  --provider openai --model gpt-4o --api-key $OPENAI_API_KEY

LLM Configuration

from assert_review import LLMConfig

# AWS Bedrock (uses ~/.aws credentials by default)
config = LLMConfig(
    provider="bedrock",
    model_id="us.amazon.nova-pro-v1:0",
    region="us-east-1",
)

# AWS Bedrock with explicit credentials
config = LLMConfig(
    provider="bedrock",
    model_id="us.amazon.nova-pro-v1:0",
    region="us-east-1",
    api_key="your-aws-access-key-id",
    api_secret="your-aws-secret-access-key",
    aws_session_token="your-session-token",  # optional
)

# OpenAI
config = LLMConfig(
    provider="openai",
    model_id="gpt-4o",
    api_key="your-openai-api-key",
)

Supported Bedrock Model Families

Model Family	Example Model IDs
Amazon Nova	us.amazon.nova-pro-v1:0, amazon.nova-lite-v1:0
Anthropic Claude	anthropic.claude-3-sonnet-20240229-v1:0
Meta Llama	meta.llama3-70b-instruct-v1:0
Mistral AI	mistral.mistral-large-2402-v1:0
Cohere Command	cohere.command-r-plus-v1:0
AI21 Labs	ai21.jamba-1-5-large-v1:0

Proxy Configuration

# Single proxy
config = LLMConfig(
    provider="bedrock", model_id="us.amazon.nova-pro-v1:0", region="us-east-1",
    proxy_url="http://proxy.example.com:8080",
)

# Protocol-specific proxies
config = LLMConfig(
    provider="bedrock", model_id="us.amazon.nova-pro-v1:0", region="us-east-1",
    http_proxy="http://proxy.example.com:8080",
    https_proxy="http://proxy.example.com:8443",
)

# Authenticated proxy
config = LLMConfig(
    provider="bedrock", model_id="us.amazon.nova-pro-v1:0", region="us-east-1",
    proxy_url="http://username:[e-mail]:8080",
)

Standard HTTP_PROXY / HTTPS_PROXY environment variables are also respected.

Public API

from assert_review import (
    evaluate_note,     # main entry point
    NoteEvaluator,     # evaluator class for advanced use
    GapReport,         # full evaluation result
    GapItem,           # per-element result
    GapReportStats,    # summary statistics
    PassPolicy,        # pass/fail threshold configuration
    LLMConfig,         # re-exported from assert-core
)

Dependencies

• assert-core — shared LLM provider layer (AWS Bedrock, OpenAI)
• PyYAML — framework loading

Migrating from assert_llm_tools

assert-review replaces the compliance note evaluation functionality of assert_llm_tools, which is now deprecated. Swap the imports:

# Before
from assert_llm_tools import evaluate_note, LLMConfig
from assert_llm_tools.metrics.note.models import PassPolicy, GapReport, GapItem

# After
from assert_review import evaluate_note, LLMConfig, PassPolicy, GapReport, GapItem

License

MIT