Compliance Automation

Overview

Maintain regulatory compliance by automatically monitoring, extracting, and validating tax documents from SAT. Stay ahead of compliance requirements with real-time document tracking and automated validation workflows.

Compliance Challenges

Document Completeness

Ensure all required tax documents are collected and stored properly.

Deadline Management

Track filing deadlines and ensure timely submission of tax documents.

Data Accuracy

Validate document data against business records to identify discrepancies.

Audit Readiness

Maintain organized, searchable archives of all tax documents.

Automated Compliance Workflow

Continuous Monitoring

Set up scheduled extractions to monitor SAT for new documents regularly.

Document Classification

Automatically categorize documents by type, date, and compliance requirements.

Validation & Review

Run automated checks to validate document completeness and accuracy.

Alert & Reporting

Generate compliance reports and alerts for missing or problematic documents.

Archive & Retention

Store documents in compliance with legal retention requirements.

Key Features

Document Tracking

Track all tax documents across different categories:

CFDI Invoices: Inbound and outbound invoices
Tax Status Certificates: CSF documents
Tax Retention Documents: Withholding certificates
Complement Documents: Additional tax forms

Compliance Validation

Completeness Checks

Verify all required documents are present for each period
Check for missing invoice sequences
Validate document date ranges

Data Integrity

Cross-reference document amounts with accounting records
Validate RFC and tax ID consistency
Check digital signature validity

Regulatory Requirements

Ensure documents meet SAT formatting requirements
Validate required fields and metadata
Check compliance with current tax regulations

Implementation Example

class ComplianceMonitor {
  constructor(apiKey, complianceRules) {
    this.apiKey = apiKey;
    this.rules = complianceRules;
    this.baseUrl = 'https://api.taxo.co';
  }

  async runComplianceCheck(rfc, period) {
    const results = {
      compliant: true,
      issues: [],
      documents: []
    };

    // Extract all document types for the period
    const documentTypes = ['INVOICE', 'TAX_STATUS', 'TAX_RETENTION'];
    
    for (const type of documentTypes) {
      const extraction = await this.extractDocuments(rfc, type, period);
      const validation = await this.validateExtraction(extraction, type);
      
      results.documents.push(...validation.documents);
      results.issues.push(...validation.issues);
      
      if (validation.issues.length > 0) {
        results.compliant = false;
      }
    }

    return results;
  }

  async extractDocuments(rfc, informationType, period) {
    const response = await fetch(`${this.baseUrl}/v1/extractions`, {
      method: 'POST',
      headers: {
        'Authorization': `Bearer ${this.apiKey}`,
        'Content-Type': 'application/json'
      },
      body: JSON.stringify({
        subject: { identifier: rfc },
        credentials: {
          SAT: {
            type: 'USERNAME_PASSWORD',
            username: rfc,
            password: process.env.CIEC_PASSWORD
          }
        },
        options: {
          informationType,
          period
        }
      })
    });

    return response.json();
  }

  async validateExtraction(extraction, documentType) {
    const validation = {
      documents: [],
      issues: []
    };

    // Wait for extraction to complete
    const completed = await this.waitForCompletion(extraction.publicId);
    
    if (completed.status === 'COMPLETED') {
      validation.documents = completed.documents || [];
      
      // Run compliance validations
      const completenessCheck = this.checkCompleteness(completed, documentType);
      const integrityCheck = await this.checkDataIntegrity(completed);
      
      validation.issues.push(...completenessCheck.issues);
      validation.issues.push(...integrityCheck.issues);
    } else {
      validation.issues.push({
        type: 'EXTRACTION_FAILED',
        message: `Failed to extract ${documentType} documents`,
        severity: 'HIGH'
      });
    }

    return validation;
  }

  checkCompleteness(extraction, documentType) {
    const issues = [];
    const rule = this.rules[documentType];
    
    if (!rule) return { issues };

    // Check minimum document count
    if (extraction.completedCount < rule.minimumCount) {
      issues.push({
        type: 'INSUFFICIENT_DOCUMENTS',
        message: `Expected at least ${rule.minimumCount} ${documentType} documents, found ${extraction.completedCount}`,
        severity: 'MEDIUM'
      });
    }

    // Check for document gaps
    if (extraction.failedCount > rule.maxFailures) {
      issues.push({
        type: 'HIGH_FAILURE_RATE',
        message: `Too many failed documents: ${extraction.failedCount}`,
        severity: 'HIGH'
      });
    }

    return { issues };
  }

  async checkDataIntegrity(extraction) {
    const issues = [];
    
    // Download and validate sample documents
    const sampleSize = Math.min(5, extraction.completedCount);
    
    for (let i = 0; i < sampleSize; i++) {
      try {
        const document = extraction.documents[i];
        const xmlData = await this.downloadDocument(extraction.publicId, document.id);
        const validation = this.validateDocumentStructure(xmlData);
        
        if (!validation.valid) {
          issues.push({
            type: 'INVALID_DOCUMENT_STRUCTURE',
            message: `Document ${document.id} has structural issues: ${validation.errors.join(', ')}`,
            severity: 'MEDIUM'
          });
        }
      } catch (error) {
        issues.push({
          type: 'DOCUMENT_ACCESS_ERROR',
          message: `Cannot access document for validation: ${error.message}`,
          severity: 'LOW'
        });
      }
    }

    return { issues };
  }

  generateComplianceReport(results) {
    return {
      timestamp: new Date().toISOString(),
      status: results.compliant ? 'COMPLIANT' : 'NON_COMPLIANT',
      summary: {
        totalDocuments: results.documents.length,
        totalIssues: results.issues.length,
        highSeverityIssues: results.issues.filter(i => i.severity === 'HIGH').length
      },
      issues: results.issues,
      recommendations: this.generateRecommendations(results.issues)
    };
  }
}

class ComplianceMonitor:
    def __init__(self, api_key, compliance_rules):
        self.api_key = api_key
        self.rules = compliance_rules
        self.base_url = 'https://api.taxo.co'

    def run_compliance_check(self, rfc, period):
        """Run comprehensive compliance check for a taxpayer"""
        results = {
            'compliant': True,
            'issues': [],
            'documents': []
        }

        document_types = ['INVOICE', 'TAX_STATUS', 'TAX_RETENTION']
        
        for doc_type in document_types:
            extraction = self.extract_documents(rfc, doc_type, period)
            validation = self.validate_extraction(extraction, doc_type)
            
            results['documents'].extend(validation['documents'])
            results['issues'].extend(validation['issues'])
            
            if validation['issues']:
                results['compliant'] = False

        return results

    def extract_documents(self, rfc, information_type, period):
        """Extract documents from SAT for compliance check"""
        headers = {
            'Authorization': f'Bearer {self.api_key}',
            'Content-Type': 'application/json'
        }
        
        payload = {
            'subject': {'identifier': rfc},
            'credentials': {
                'SAT': {
                    'type': 'USERNAME_PASSWORD',
                    'username': rfc,
                    'password': os.environ['CIEC_PASSWORD']
                }
            },
            'options': {
                'informationType': information_type,
                'period': period
            }
        }
        
        response = requests.post(f'{self.base_url}/v1/extractions', 
                               json=payload, headers=headers)
        return response.json()

    def validate_extraction(self, extraction, document_type):
        """Validate extraction results against compliance rules"""
        validation = {
            'documents': [],
            'issues': []
        }

        # Wait for extraction completion
        completed = self.wait_for_completion(extraction['publicId'])
        
        if completed['status'] == 'COMPLETED':
            validation['documents'] = completed.get('documents', [])
            
            # Run compliance checks
            completeness = self.check_completeness(completed, document_type)
            integrity = self.check_data_integrity(completed)
            
            validation['issues'].extend(completeness['issues'])
            validation['issues'].extend(integrity['issues'])
        else:
            validation['issues'].append({
                'type': 'EXTRACTION_FAILED',
                'message': f'Failed to extract {document_type} documents',
                'severity': 'HIGH'
            })

        return validation

    def check_completeness(self, extraction, document_type):
        """Check if extraction meets completeness requirements"""
        issues = []
        rule = self.rules.get(document_type, {})
        
        # Check minimum document count
        min_count = rule.get('minimum_count', 0)
        if extraction['completedCount'] < min_count:
            issues.append({
                'type': 'INSUFFICIENT_DOCUMENTS',
                'message': f'Expected at least {min_count} {document_type} documents, found {extraction["completedCount"]}',
                'severity': 'MEDIUM'
            })

        # Check failure rate
        max_failures = rule.get('max_failures', 0)
        if extraction['failedCount'] > max_failures:
            issues.append({
                'type': 'HIGH_FAILURE_RATE',
                'message': f'Too many failed documents: {extraction["failedCount"]}',
                'severity': 'HIGH'
            })

        return {'issues': issues}

    def generate_compliance_report(self, results):
        """Generate comprehensive compliance report"""
        return {
            'timestamp': datetime.now().isoformat(),
            'status': 'COMPLIANT' if results['compliant'] else 'NON_COMPLIANT',
            'summary': {
                'total_documents': len(results['documents']),
                'total_issues': len(results['issues']),
                'high_severity_issues': len([i for i in results['issues'] if i['severity'] == 'HIGH'])
            },
            'issues': results['issues'],
            'recommendations': self.generate_recommendations(results['issues'])
        }

Compliance Dashboard

Monitor compliance status across all taxpayers and time periods:

{
  "complianceStatus": {
    "overall": "COMPLIANT",
    "lastChecked": "2025-01-04T15:30:00Z",
    "entities": [
      {
        "rfc": "ABC010101ABC",
        "status": "COMPLIANT",
        "lastExtraction": "2025-01-04T10:00:00Z",
        "documentsCount": 150,
        "issues": []
      },
      {
        "rfc": "XYZ020202XYZ", 
        "status": "NON_COMPLIANT",
        "lastExtraction": "2025-01-04T11:00:00Z",
        "documentsCount": 87,
        "issues": [
          {
            "type": "MISSING_DOCUMENTS",
            "severity": "HIGH",
            "message": "Missing invoices for December 2024"
          }
        ]
      }
    ]
  }
}

Best Practices

Regular Monitoring

Schedule daily compliance checks during business hours
Set up automated alerts for compliance violations
Maintain historical compliance records for trend analysis

Document Retention

Store documents according to legal retention requirements (typically 5-10 years)
Implement secure backup and disaster recovery procedures
Maintain document integrity with checksums and digital signatures

Audit Preparation

Generate audit trails for all document processing activities
Maintain logs of compliance checks and issue resolutions
Provide easy access to documents for auditor review

Next Steps

Integration Guide

Learn production-ready integration patterns.

Troubleshooting

Handle common compliance monitoring issues.

API Reference

Explore detailed API documentation.

ERP Integration

Connect compliance monitoring to ERP systems.

Getting Started

SAT API Reference

Document Types

Use Cases

Webhooks

Overview

Compliance Challenges

Document Completeness

Deadline Management

Data Accuracy

Audit Readiness

Automated Compliance Workflow

Key Features

Document Tracking

Compliance Validation

Implementation Example

Compliance Dashboard

Best Practices

Next Steps

Integration Guide

Troubleshooting

API Reference

ERP Integration

​Overview

​Compliance Challenges

Document Completeness

Deadline Management

Data Accuracy

Audit Readiness

​Automated Compliance Workflow

​Key Features

​Document Tracking

​Compliance Validation

​Implementation Example

​Compliance Dashboard

​Best Practices

​Next Steps

Integration Guide

Troubleshooting

API Reference

ERP Integration

Overview

Compliance Challenges

Automated Compliance Workflow

Key Features

Document Tracking

Compliance Validation

Implementation Example

Compliance Dashboard

Best Practices

Next Steps