Books And Records Claude skill | Claude Skill Library

Account Opening ComplianceEmbed compliance controls into account opening and verify regulatory readiness.

Advertising ComplianceChecks investment ads against SEC Marketing Rule and FINRA advertising rules.

Advice StandardsDetermine when a product, platform, or communication crosses the regulatory line from.

Anti Money LaunderingGuides BSA/AML compliance design, transaction monitoring, and FinCEN reporting.

Client DisclosuresGuide investment adviser and broker-dealer disclosures.

Conflicts Of InterestIdentifies, discloses, and mitigates advisor conflicts of interest under Reg BI.

Examination ReadinessPrepare for and respond to SEC and FINRA regulatory examinations across the full exam.

Fee DisclosureChecks whether fee and cost disclosures are complete, accurate, and not misleading.

Books And Records