Data compliance monitoring and automatic reporting system

Abstract

The invention provides a data compliance monitoring and automatic reporting system, which comprises a data collection module which is used for embedding a data collection mechanism in a front-end application, capturing interaction data and front-end performance data of a user and the application in real time, and monitoring a data flow in real time; the data verification module is used for verifying the collected data to ensure the accuracy and integrity of the data, checking whether the data conforms to a preset compliance rule or not, and analyzing and identifying the data according to the preset compliance rule and algorithm to determine whether a potential compliance risk exists or not; according to the system, the data flow can be monitored in real time, the potential compliance risk can be found in time, the compliance risk in the data can be automatically identified through the preset compliance rule and algorithm, and once the risk is identified, a detailed report is automatically generated, so that the accuracy and efficiency of the report are improved, and the user experience is improved. The system can adapt to laws and regulations of different countries and regions, and can be flexibly configured according to needs.

Description

Technical Field

[0001] The present invention relates to the technical field of data processing, and in particular to a data compliance monitoring and automatic reporting system. Background Art

[0002] With the increase of data-driven decision-making and regulatory requirements, data compliance becomes more and more important. Enterprises need to ensure that their front-end applications, such as websites, mobile applications or internal tools, comply with regulatory requirements when collecting, processing and displaying data. Therefore, the front-end data compliance monitoring and automatic reporting system becomes particularly critical. To this end, a data compliance monitoring and automatic reporting system is proposed. Summary of the invention

[0003] In view of this, an embodiment of the present invention hopes to provide a data compliance monitoring and automatic reporting system to solve or alleviate the technical problems existing in the prior art and at least provide a beneficial option.

[0004] The technical solution of the embodiment of the present invention is implemented as follows: a data compliance monitoring and automatic reporting system, comprising:

[0005] Data collection module: embeds data collection mechanism in front-end applications, captures user-application interaction data and front-end performance data in real time, and is responsible for real-time monitoring of data flow;

[0006] Data verification module: Verify the collected data to ensure its accuracy and completeness, and check whether the data complies with the preset compliance rules. According to the preset compliance rules and algorithms, analyze and identify the data to determine whether there are potential compliance risks. This module can adapt to the regulatory requirements of different countries and regions and can be flexibly configured as needed;

[0007] Automatic report generation module: When data compliance risks are identified, this module will automatically generate detailed reports so that relevant personnel can quickly understand and respond to risks;

[0008] User interface module: provides a user-friendly interface to facilitate users to view monitoring data, set compliance rules and view reports. This module supports a variety of terminal devices.

[0009] In some embodiments, the compliance rules and algorithms include the following specific steps:

[0010] S1. Compliance rule definition: First, a series of compliance rules need to be defined;

[0011] S2. Algorithm development: Based on compliance rules, develop corresponding algorithms to detect whether the data complies with these compliance rules. The algorithms include pattern recognition, statistical analysis and machine learning models to identify potential non-compliant behaviors;

[0012] S3, Integration of rules and algorithms: Integrate the defined compliance rules and algorithms into the monitoring system, from forming projects such as writing code, configuring system parameters, setting triggers and alerts;

[0013] S4, Testing and Verification: Before the system is officially put into operation, the rules and algorithms need to be tested and verified to ensure that compliance issues can be accurately identified. Testing and verification include simulating data flow, conducting penetration tests, and performing compliance audits.

[0014] S5. System deployment: The tested rules and algorithms will be deployed to the production environment;

[0015] S6. Monitoring and adjustment: After the system is deployed, the effects of rules and algorithms need to be continuously monitored and adjusted according to actual conditions;

[0016] S7. User training: In order for the system to operate effectively, users need to be trained to ensure that they understand the importance of compliance rules and algorithms, and how to use the system correctly;

[0017] S8. Compliance Audit: The system should be subject to regular compliance audits to ensure the continued effectiveness of rules and algorithms, and make necessary updates and improvements based on the audit results.

[0018] In some embodiments, the specific steps are as follows:

[0019] S11, System startup and initialization: The user starts the data compliance monitoring and automatic reporting system, the system loads the preset compliance rules and algorithms, configures the monitoring parameters, and prepares to start monitoring;

[0020] S12, Data monitoring: The system captures and analyzes data streams in real time, and performs preliminary processing on the captured data;

[0021] S13, Compliance Identification: The system matches the processed data with the preset compliance rules. Based on the matching results, the system identifies whether there are potential compliance risks;

[0022] S14, Risk Assessment Module: The system conducts in-depth analysis of identified compliance risks, assesses the severity and likelihood of risks, and generates a risk assessment report;

[0023] S15, automatic report generation module: the system determines the content that the automatic report needs to include based on the risk assessment report, and the system automatically generates a detailed compliance risk report;

[0024] S16, Report output and distribution module: The system outputs the generated compliance risk report to the designated location or device, and distributes the compliance risk report to relevant personnel through email, SMS, etc.;

[0025] S17, User feedback and response module: After receiving the report, relevant personnel can provide feedback or suggestions, and the system will process or adjust accordingly based on the user feedback;

[0026] S18, System maintenance and update module: Maintain the system regularly and update and upgrade the system according to regulatory changes or user needs to adapt to new compliance requirements or functional requirements.

[0027] In some embodiments, the data stream includes information about the source, content, and transmission path of the data.

[0028] In some embodiments, preliminary processing of the data includes data cleaning and formatting.

[0029] In some embodiments, the risk assessment report specifies information on the risk type, level, and scope of impact.

[0030] In some embodiments, the automatic report needs to include risk description, occurrence time, impact scope and recommended measures.

[0031] In some embodiments, relevant personnel include compliance officers and data administrators.

[0032] The embodiment of the present invention has the following advantages due to the adoption of the above technical solution:

[0033] The present invention can monitor data flow in real time through the system, promptly discover potential compliance risks, and automatically identify compliance risks in data through preset compliance rules and algorithms. Once the risk is identified, a detailed report will be automatically generated, thereby improving the accuracy and efficiency of the report, being able to adapt to the regulatory requirements of different countries and regions, and being flexibly configured as needed.

[0034] The above summary is for illustrative purposes only and is not intended to be limiting in any way. In addition to the illustrative aspects, embodiments and features described above, further aspects, embodiments and features of the present invention will be readily apparent by reference to the accompanying drawings and the following detailed description. BRIEF DESCRIPTION OF THE DRAWINGS

[0035] In order to more clearly illustrate the embodiments of the present application or the technical solutions in the prior art, the drawings required for use in the embodiments or technical descriptions will be briefly introduced below. Obviously, the drawings described below are only some embodiments of the present application. For ordinary technicians in this field, other drawings can be obtained based on these drawings without paying creative work.

[0036] Figure 1 is a system diagram of the modules of the present invention;

[0037] Figure 2 is a flow chart of the compliance rules and algorithms of the present invention;

[0038] Figure 3 It is a flow chart of the present invention. DETAILED DESCRIPTION

[0039] In the following, only some exemplary embodiments are briefly described. As those skilled in the art will appreciate, the described embodiments may be modified in various ways without departing from the spirit or scope of the present invention. Therefore, the drawings and descriptions are considered to be exemplary and non-restrictive in nature.

[0040] It should be noted that the terms "first", "second", "symmetrical", "array", etc. are only used to distinguish between description and position description purposes, and cannot be understood as indicating or implying relative importance or implicitly indicating the number of the indicated technical features. Therefore, the definition of "first", "symmetrical", etc. can explicitly or implicitly include one or more of these features; similarly, when the quantity of certain features is not limited in the form of words such as "two" or "three", it should be noted that this feature also explicitly or implicitly includes one or more feature quantities;

[0041] In the present invention, unless otherwise clearly specified and limited, the terms such as "installation", "connection", "fixation" and the like should be understood in a broad sense; for example, it can be a fixed connection, a detachable connection, or an integral molding; it can be a mechanical connection, a direct connection, welding, or an indirect connection through an intermediate medium, or it can be the internal connection of two elements or the interaction relationship between two elements. For ordinary technicians in this field, the specific meanings of the above terms in the present invention can be understood based on the description and drawings combined with specific circumstances.

[0042] The embodiments of the present invention are described in detail below with reference to the accompanying drawings.

[0043] like Figure 1-Figure 3 As shown, an embodiment of the present invention provides a data compliance monitoring and automatic reporting system, including:

[0044] Data collection module: embeds data collection mechanism in front-end applications to capture user-application interaction data and front-end performance data in real time, and is responsible for real-time monitoring of data flows, including data sources, content, transmission paths, etc. This module uses advanced data analysis technology to efficiently process large amounts of data;

[0045] Data verification module: Verify the collected data to ensure its accuracy and completeness, and check whether the data complies with the preset compliance rules. According to the preset compliance rules and algorithms, analyze and identify the data to determine whether there are potential compliance risks. This module can adapt to the regulatory requirements of different countries and regions and can be flexibly configured as needed;

[0046] Automatic report generation module: When data compliance risks are identified, this module will automatically generate a detailed report including risk description, occurrence time, impact scope, recommended measures, etc., so that relevant personnel can quickly understand and respond to risks;

[0047] User interface module: provides a user-friendly interface to facilitate users to view monitoring data, set compliance rules and view reports. This module supports a variety of terminal devices, such as computers, mobile phones, etc.

[0048] In this embodiment, the compliance rules and algorithm steps are as follows:

[0049] S1. Compliance rule definition: First, a series of compliance rules need to be defined, including but not limited to data access control, data minimization principle, data encryption requirements, cross-border data transfer regulations, user consent requirements, data retention and destruction policies, etc.;

[0050] S2. Algorithm development: Based on compliance rules, develop corresponding algorithms to detect whether the data complies with these compliance rules. The algorithms include pattern recognition, statistical analysis and machine learning models to identify potential non-compliant behaviors;

[0051] S3, Integration of rules and algorithms: Integrate the defined compliance rules and algorithms into the monitoring system, from forming projects such as writing code, configuring system parameters, setting triggers and alerts;

[0052] S4, Testing and Verification: Before the system is officially put into operation, the rules and algorithms need to be tested and verified to ensure that compliance issues can be accurately identified. Testing and verification include simulating data flow, conducting penetration tests, and performing compliance audits.

[0053] S5. System deployment: The tested rules and algorithms will be deployed to the production environment, where functions such as software installation, network configuration, and user permission setting will be formed;

[0054] S6. Monitoring and adjustment: After the system is deployed, it is necessary to continuously monitor the effectiveness of rules and algorithms and make adjustments based on actual conditions. The adjustments include updating rules to adapt to new laws and regulations, optimizing algorithms to improve detection accuracy, etc.

[0055] S7. User training: In order for the system to operate effectively, users need to be trained to ensure that they understand the importance of compliance rules and algorithms, and how to use the system correctly;

[0056] S8. Compliance Audit: The system should be subject to regular compliance audits to ensure the continued effectiveness of rules and algorithms, and make necessary updates and improvements based on the audit results.

[0057] In this embodiment, the specific operation steps are as follows:

[0058] S11, System startup and initialization: The user starts the data compliance monitoring and automatic reporting system, the system loads the preset compliance rules and algorithms, configures the monitoring parameters, and prepares to start monitoring;

[0059] S12, Data monitoring: The system captures and analyzes data streams in real time, and performs preliminary processing on the captured data;

[0060] S13, Compliance Identification: The system matches the processed data with the preset compliance rules. Based on the matching results, the system identifies whether there are potential compliance risks;

[0061] S14, Risk Assessment Module: The system conducts in-depth analysis of identified compliance risks, assesses the severity and likelihood of risks, and generates a risk assessment report;

[0062] S15, automatic report generation module: the system determines the content that the automatic report needs to include based on the risk assessment report, and the system automatically generates a detailed compliance risk report;

[0063] S16, Report output and distribution module: The system outputs the generated compliance risk report to the designated location or device, and distributes the compliance risk report to relevant personnel through email, SMS, etc.;

[0064] S17, User feedback and response module: After receiving the report, relevant personnel can provide feedback or suggestions. The system will process or adjust accordingly based on the user feedback, such as modifying compliance rules, optimizing monitoring strategies, etc.

[0065] S18, System maintenance and update module: Regularly maintain the system, including data backup, performance optimization, etc., and update and upgrade the system according to regulatory changes or user needs to adapt to new compliance requirements or functional requirements.

[0066] In this embodiment, specifically, the data stream includes information on the source, content, and transmission path of the data.

[0067] In this embodiment, specifically, the preliminary processing of the data includes data cleaning and formatting.

[0068] In this embodiment, specifically, the risk assessment report specifies information on risk type, level, and impact scope.

[0069] In this embodiment, specifically, the content that the automatic report needs to include includes risk description, occurrence time, impact scope and recommended measures.

[0070] In this embodiment, specifically, the relevant personnel include compliance managers and data managers.

[0071] In this embodiment, specifically, data compliance refers to whether the use, processing, storage and transmission of data comply with relevant laws and regulations, industry standards or corporate regulations.

[0072] Data monitoring: refers to the continuous observation and detection of data.

[0073] Automatic reporting system: refers to a system that can automatically generate, send and analyze reports.

[0074] The above is only a specific embodiment of the present invention, but the protection scope of the present invention is not limited thereto. Any person skilled in the art can easily think of various changes or substitutions within the technical scope disclosed by the present invention, which should be included in the protection scope of the present invention. Therefore, the protection scope of the present invention should be based on the protection scope of the claims.

Claims

1. A data compliance monitoring and automatic reporting system, characterized in that: include: Data collection module: embeds data collection mechanism in front-end applications, captures user-application interaction data and front-end performance data in real time, and is responsible for real-time monitoring of data flow; Data verification module: Verify the collected data to ensure its accuracy and completeness, and check whether the data complies with the preset compliance rules. According to the preset compliance rules and algorithms, analyze and identify the data to determine whether there are potential compliance risks. This module can adapt to the regulatory requirements of different countries and regions and can be flexibly configured as needed; Automatic report generation module: When data compliance risks are identified, this module will automatically generate detailed reports so that relevant personnel can quickly understand and respond to risks; User interface module: provides a user-friendly interface to facilitate users to view monitoring data, set compliance rules and view reports. This module supports a variety of terminal devices.

2. The data compliance monitoring and automatic reporting system according to claim 1, characterized in that: The compliance rules and algorithms are as follows: S1. Compliance rule definition: First, a series of compliance rules need to be defined; S2. Algorithm development: Based on compliance rules, develop corresponding algorithms to detect whether the data complies with these compliance rules. The algorithms include pattern recognition, statistical analysis and machine learning models to identify potential non-compliant behaviors; S3, Integration of rules and algorithms: Integrate the defined compliance rules and algorithms into the monitoring system, from forming projects such as writing code, configuring system parameters, setting triggers and alerts; S4, Testing and Verification: Before the system is officially put into operation, the rules and algorithms need to be tested and verified to ensure that compliance issues can be accurately identified. Testing and verification include simulating data flow, conducting penetration tests, and performing compliance audits. S5. System deployment: The tested rules and algorithms will be deployed to the production environment; S6. Monitoring and adjustment: After the system is deployed, the effects of rules and algorithms need to be continuously monitored and adjusted according to actual conditions; S7. User training: In order for the system to operate effectively, users need to be trained to ensure that they understand the importance of compliance rules and algorithms, and how to use the system correctly; S8. Compliance Audit: The system should be subject to regular compliance audits to ensure the continued effectiveness of rules and algorithms, and make necessary updates and improvements based on the audit results.

3. The data compliance monitoring and automatic reporting system according to claim 1, characterized in that: The specific steps are as follows: S11, System startup and initialization: The user starts the data compliance monitoring and automatic reporting system, the system loads the preset compliance rules and algorithms, configures the monitoring parameters, and prepares to start monitoring; S12, Data monitoring: The system captures and analyzes data streams in real time, and performs preliminary processing on the captured data; S13, Compliance Identification: The system matches the processed data with the preset compliance rules. Based on the matching results, the system identifies whether there are potential compliance risks; S14, Risk Assessment Module: The system conducts in-depth analysis of identified compliance risks, assesses the severity and likelihood of risks, and generates a risk assessment report; S15, automatic report generation module: the system determines the content that the automatic report needs to include based on the risk assessment report, and the system automatically generates a detailed compliance risk report; S16, Report output and distribution module: The system outputs the generated compliance risk report to the designated location or device, and distributes the compliance risk report to relevant personnel through email, SMS, etc.; S17, User feedback and response module: After receiving the report, relevant personnel can provide feedback or suggestions, and the system will process or adjust accordingly based on the user feedback; S18, System maintenance and update module: Maintain the system regularly and update and upgrade the system according to regulatory changes or user needs to adapt to new compliance requirements or functional requirements.

4. The data compliance monitoring and automatic reporting system according to claim 3, characterized in that: The data flow includes information about the source, content and transmission path of the data.

5. The data compliance monitoring and automatic reporting system according to claim 3, characterized in that: The initial processing of the data includes data cleaning and formatting.

6. The data compliance monitoring and automatic reporting system according to claim 3, characterized in that: The risk assessment report clearly states the risk type, level and scope of impact.

7. The data compliance monitoring and automatic reporting system according to claim 3, characterized in that: The automated report needs to include risk description, occurrence time, impact scope and recommended measures.

8. The data compliance monitoring and automatic reporting system according to claim 3, characterized in that: Relevant personnel include compliance officers and data stewards.

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