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企业跨境数据流动的顺序合规决策:一个制度性锚定的决策支持系统

Sequential compliance decisions of firms on cross-border data flows: An institutionally anchored decision support system

Yuepeng Zhou, Dongchi Xing, Li Xiong

arXiv 2607.10620首次发表:更新:

AI 中文总结

研究企业跨境数据流动的顺序合规决策,开发制度性锚定决策支持系统,将监管规则转化为映射,建模企业决策为马尔可夫决策过程,用掩码深度强化学习求解,实验显示策略优于基线,能提供可解释支持,还揭示模式且可转移。

AI 中文摘要

数据的经济价值源于其跨组织和跨国界流动。然而,日益严格的数据治理制度使跨境数据传输成为制度约束下的顺序决策,企业需反复权衡合规成本与数据流动价值。本文从数据输出企业角度,开发了一个制度性锚定的决策支持系统。它将监管规则转化为可计算的最小合规映射,把企业每周决策建模为有限期马尔可夫决策过程,合规表示为硬约束而非惩罚项。用掩码深度强化学习解决问题,反事实路径优势提供可解释信号。实验表明,系统内学习的策略优于基线,能提供可解释、可审计的决策支持。还揭示了吸收然后调整模式,且该系统不依赖特定法规,可转移到其他司法管辖区和基于规则的合规问题。

英文摘要

The economic value of data arises from its flow across organizations and national borders. Yet increasingly stringent data governance regimes are turning cross-border transfer into an institutionally constrained sequential decision, in which firms repeatedly weigh compliance costs against the value of data flows. From the perspective of a data-exporting firm, this paper develops an institutionally anchored decision support system. It converts regulatory rules into a computable minimal compliance mapping and models the firm's weekly decisions as a finite-horizon Markov decision process (MDP), with compliance represented as a hard constraint rather than a penalty term. The resulting problem is solved using masked deep reinforcement learning, while counterfactual path advantages provide interpretable signals to support the firm's cross-border data flow decisions. Experiments show that the policies learned within the system outperform the baselines considered and deliver interpretable, auditable decision support. Local processing concentrates in states where the business value of small lawful transfers does not cover their compliance costs, and the localization boundary shifts systematically as the regime tightens. Credential acquisition is front-loaded within the compliance year, and shallow decision trees reproduce the policy's decisions with high fidelity. Treating the persistent-friction weight as a continuous representation of regulatory strictness further reveals an absorb-then-adjust pattern, in which expected rewards decline before observable behavior changes, implying that assessments based only on behavioral indicators may understate the burden already borne by firms. Moreover, the system is not tied to any specific regulation and can be transferred to other jurisdictions and rule-based compliance problems.

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