What this category's data looks like
Penalty case data sources include the official website of the National Financial Regulatory Administration, bulletin boards of local banking and insurance regulatory bureaus, and industry association compliance notification databases. Updates are published in line with regulatory law enforcement progress, with no fixed cycle, and no modifications after initial release. A single document contains seven core fields: 处罚文号, 被处罚主体名称, 违法违规事实, 处罚依据, 处罚结果, 作出处罚的机构, and 作出日期. Among these, 处罚文号 is the unique identifier. 处罚结果 includes specific quantified content such as fine amount (unit: ten thousand yuan) and rectification suspension period.
What constraints do these characteristics impose on the "citation sources and traceability" link
The unique identifier for penalty cases is 处罚文号, so the traceability link must bind this field as the core association for the original public notice page, to avoid confusion between different cases with the same document number. Data comes from official regulatory channels, so traceability links must directly point to the official regulatory release page, and secondary forwarding addresses are not allowed. 违法违规事实 is the core citation content, which should be prioritized for matching during retrieval. Matching of subject names should follow this step, to ensure accuracy of cited content. Data updates have no fixed cycle, so a real-time synchronization mechanism must be configured to ensure the latest penalty cases are included in the retrieval scope in a timely manner.
How to configure
| Configuration Item | Recommended Value | Rationale |
|---|---|---|
source_unique_key | 处罚文号 | This field is the unique identifier released by regulators, which can avoid retrieving duplicate cases |
retrieve_field | 违法违规事实 | This field is the core compliance content of penalty cases, with higher matching accuracy |
source_sync_mode | Real-time Pull | Regulatory penalty announcements have no fixed release cycle, so real-time synchronization ensures the latest cases are included |
source_link_template | https://[regulatory_domain]/[penalty_document_number] | Directly points to the original public notice page released by regulators, meeting traceability compliance requirements |
max_retrieve_count | Top 3 entries | Single penalty case content is lengthy, and excessive retrieval will exceed the context window |
similarity_threshold | 0.75–0.85 | This range can filter irrelevant retrievals while retaining core matching content |
The parameter values provided on this page are conventional recommendations used as a starting point for configuration. Actual values are affected by material form, data volume, and business rules. Specific issues require specific analysis, and it is recommended to test on your own samples before finalizing.
Three common mistakes
- Phenomenon: The conversation interface does not display a traceability link entry. Cause: The
show_source_linkparameter is not configured, or the parameter value isfalse, resulting in no traceability entry being generated. - Phenomenon: The traceability function cannot be called in the workflow to splice links via custom variables. Cause:
source_link_templateonly supports fixed splicing based on处罚文号, and does not support external variable injection. Use the format of regulatory domain + document number directly. - Phenomenon: The
source_urlfield appears empty in retrieval results. Cause:处罚文号is not configured assource_unique_key, resulting in failure to correctly associate the original public notice page.
How to confirm configuration is complete
- Trigger a compliance query involving penalty cases, check whether the returned result includes the
source_urlfield, and whether the link format conforms to the splicing rule of official regulatory domain +处罚文号. - View the system synchronization log to confirm whether newly released penalty cases have been pulled into the knowledge base within a reasonable time frame.
- Adjust the value of
similarity_thresholdto verify whether the matching accuracy of retrieval results meets expectations. - Check the configuration of
max_retrieve_countto confirm that the number of retrieval results each time does not exceed the preset value.
Question material comes from public community discussions. Configuration values are common starting points and should be measured against your own samples. Verified on 2026-09-14.