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securityOfficial
Official Provider SkillView repo
Review any client-facing message or material (emails, letters, newsletters, social posts, website copy, presentations, performance reports, proposals) for compliance with SEC rules that govern investment advisers — the Marketing Rule (206(4)-1), fiduciary duty / antifraud provisions (206), Books and Records (204-2), and Reg BI where broker-dealer activity applies. Produces a pass/flag/fail markup, required disclosures, a books-and-records scratch-pad entry, and an archiving handoff reminder. Tri
Files2 files
SKILL.md128 lines
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Skill details
Versionv1.0.0
AuthorAnthropic
Categorysecurity
Skill IDanthropics/claude-for-financial-advisors/skills/compliance
Files2 files
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