What this category’s data looks like
Data for this category comes from official exchange announcements, internal institutional compliance documents, and business operation manuals. Updates are triggered irregularly to align with regulatory policy changes or business iterations. A single update can cover anything from a single segmented rule to an entire category’s rule set.
Most documents use structured entry formats, including rule application scope, execution conditions, operational steps, and exception scenarios. Fields include applicable subjects, effective time, execution thresholds, and associated business scenarios. Units are mostly time identifiers, fixed amount tiers, and business operation node identifiers.
What constraints these characteristics impose on knowledge base retrieval and recall
The irregular update nature of trading rules requires the knowledge base to support incremental synchronization and full verification mechanisms. This prevents expired rules from being returned as recall results.
The structured document structure requires the retrieval stage to support field-level matching. It must associate fields such as applicable subjects and effective time to perform precise filtering.
The large update coverage scope requires the knowledge base to create independent indexes grouped by rule category. This improves retrieval response speed.
The multiple exception scenarios require recalled text blocks to cover complete rule branches. This avoids operational deviations caused by only returning main rules.
How to set configurations
| Configuration Item | Recommended Value | Rationale |
|---|---|---|
chunk_size | 800–1200 characters | Trading rules are mostly structured short entries. This length can fully cover a single rule sub-item, avoiding splitting that disrupts semantic integrity |
recall_top_k | Top 3–5 entries | Few similar rules exist for trading rules. Too many recalls increase context redundancy, while too few fail to cover exception scenarios |
similarity_threshold | 0.75–0.85 | Trading rules use precise wording. The similarity threshold must be higher than general scenarios to avoid recalling mismatched rule entries |
sync_mode | Incremental synchronization + weekly full verification | Trading rules update irregularly. Incremental synchronization can cover new rules in a timely manner. Weekly full verification can clean up expired rules |
field_index_enable | Enabled | Trading rules include fields such as applicable subjects and effective time. Enabling field indexing enables precise filtered retrieval |
parse_structure_mode | Structured parsing priority | Most trading rules are structured documents. Prioritizing field parsing improves the accuracy of subsequent retrieval |
The parameter values provided on this page are conventional recommendations used as starting points for configuration setup. Actual values are affected by material form, data volume, and business rules. Specific issues require specific analysis. It is recommended to test on your own samples before finalizing settings.
Three common configuration mistakes
- Phenomenon: The text understanding model list is empty when creating a knowledge base. Cause: The API key configuration for the corresponding model is not enabled, or the current environment has not connected to the service entry for that model.
- Phenomenon: Knowledge base retrieval only returns 1 matching text block. Cause: The
recall_top_kparameter was incorrectly set to 1, or the similarity threshold was set too high, causing other matching entries to be filtered out. - Phenomenon: Retrieval results include expired trading rules. Cause: No regular full verification synchronization mechanism is configured, and incremental updates do not cover invalidated rule entries.
How to confirm configurations are applied correctly
- Manually upload a test trading rule document. Check if parsed fields are correctly extracted to confirm the structured parsing configuration is active.
- Enter a retrieval query that includes effective time and applicable subject. Check if retrieval results filter out mismatched rule entries to confirm the field indexing configuration is active.
- Simulate a rule update by uploading incrementally updated documents. Check if the knowledge base automatically synchronizes new content to confirm the synchronization configuration is active.
- Adjust the
recall_top_kparameter to the specified range. Initiate a retrieval and check if the number of returned text blocks matches expectations to confirm the recall parameter configuration is active.
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.