Finance
Personal finance, budgeting, financial tools
account-maintenance
by JoelLewis
"Account maintenance operations: address changes, beneficiary updates, re-registration, cost basis management, account restrictions, standing instructions, and lifecycle changes."
post-trade-compliance
by JoelLewis
"Post-trade compliance and surveillance: trade surveillance, pattern detection, best execution review, allocation fairness, exception-based monitoring, and regulatory reporting triggers."
operational-risk
by JoelLewis
"Operational risk management: trade breaks, settlement fails, error handling, loss event taxonomy, key risk indicators, incident management, and business continuity for trading operations."
trade-execution
by JoelLewis
"Trade execution and best execution: venue selection, smart order routing, execution algorithms, transaction cost analysis (TCA), market microstructure, and best execution obligations."
corporate-actions
by JoelLewis
"Corporate actions processing: mandatory and voluntary actions, dividends, stock splits, mergers and acquisitions, tender offers, record dates, and corporate action lifecycle management."
margin-operations
by JoelLewis
"Margin operations: Reg T initial margin, maintenance margin, portfolio margin, margin call procedures, liquidation waterfall, SBLOC, and margin risk management."
workflow-automation
by JoelLewis
"Workflow automation for securities operations: BPM concepts, task routing, approval chains, escalation rules, SLA monitoring, and process orchestration patterns."
settlement-clearing
by JoelLewis
"Settlement and clearing: T+1 settlement cycle, DTC/NSCC clearing, fails management, corporate actions on settlement, DVP/RVP, continuous net settlement, and settlement risk."
client-disclosures
by JoelLewis
"Client disclosure documents: Form ADV, Form CRS, prospectus delivery, Reg S-P privacy, trade confirmations, account statements, delivery timing."
anti-money-laundering
by JoelLewis
"BSA/AML compliance: CTRs, SARs, OFAC screening, structuring detection, FinCEN requirements, red flags for money laundering."
integration-patterns
by JoelLewis
"Financial systems integration: API design, FIX protocol, ISO 20022 messaging, event-driven architecture, batch processing, idempotency, and error handling patterns."
reference-data
by JoelLewis
"Financial reference data: security master, client master, account master, identifiers (CUSIP, ISIN, SEDOL, FIGI), pricing, and reference data governance."
advertising-compliance
by JoelLewis
"Investment advertising and marketing compliance: SEC Marketing Rule, FINRA 2210, performance advertising, testimonials, social media, and recordkeeping."
next-best-action
by JoelLewis
"Next-best-action frameworks for advisor workflows: event-driven triggers, prioritization scoring, action queuing, advisor nudges, automated workflows, personalized recommendations."
crm-client-lifecycle
by JoelLewis
"Client lifecycle management for RIAs: segmentation models (AUM, revenue, behavioral, strategic importance), household management, multi-generational relationship tracking, service tier SLAs, quarterly/annual review scheduling, lifecycle tracking (prospect→onboarding→accumulation→distribution→estate), engagement analytics (NPS, contact frequency, retention risk scoring), at-risk identification, wallet share, held-away asset consolidation, referral attribution, FINRA Rule 4512 trusted contact, OFAC/enhanced due diligence, CRM platforms (Salesforce, Redtail, Wealthbox, Dynamics)."
order-lifecycle
by JoelLewis
"Order lifecycle management: order states, FIX protocol basics, order types, time-in-force, cancel/replace workflows, order validation, and state machine design for trading systems."
account-transfers
by JoelLewis
"Account transfers: ACAT transfers, non-ACAT transfers, partial transfers, journal entries, rollovers, estate transfers, and transfer tracking for brokerage operations."
account-opening-workflow
by JoelLewis
"Account opening workflows: account types (individual, joint JTWROS/TIC, trust, entity, IRA/SEP/SIMPLE/inherited, UTMA, estate), required forms (Form CIP, CRS, W-9, W-8BEN, beneficial ownership, trust/LLC docs, Form 5305), approval workflows with supervisory review, NIGO management, regulatory holds, PEP/enhanced due diligence screening, senior investor protections, KYC/CIP verification, straight-through processing (STP), multi-custodian operations (Schwab, Fidelity, Pershing), account numbering/titling/classification, ACAT coordination, 30-day compliance review, funding verification, billing system integration, FINRA Rule 4512."
fee-disclosure
by JoelLewis
"Fee disclosure requirements: ADV Part 2A, prospectus fee tables, Reg BI cost disclosure, 12b-1 fees, revenue sharing, wrap fees, ERISA 408(b)(2)."
regulatory-reporting
by JoelLewis
"Regulatory filing obligations: Form PF, 13F/13H filings, Form ADV amendments, FOCUS reports, blue sheets, CAT reporting, SAR/CTR mechanics, FINRA reporting."
partnership-bd
by RefoundAI
Help users build strategic partnerships and business development deals. Use when someone is pursuing a partnership, negotiating a BD deal, working with platforms like Google or Facebook, or trying to build distribution through partners.
financial-analysis
by kyegomez
Perform comprehensive financial analysis including DCF modeling, ratio analysis, and financial statement evaluation for companies and investment opportunities
challenge
by pedrohcgs
Stress-test a finding against the choices you did not make. Enumerates the discrete forks a competent analyst could have taken (measure definition, sample filter, control set, clustering level, weighting, functional form), runs the specification grid, and reports the distribution rather than a point estimate — then attacks the identifying assumption with named, computable sensitivity statistics. Use when the user says "is this robust", "challenge this result", "specification curve", "multiverse", "how sensitive is this", "what if I'd used a different measure", "stress-test my estimate", or before a result becomes a headline claim. NOT a reviewer of prose or code — it challenges the CLAIM.
review-paper
by pedrohcgs
Comprehensive manuscript review with three modes: single-pass (default), --adversarial critic-fixer loop, and --peer [journal] simulated peer-review pipeline (editor + 2 dispositioned referees + editorial decision, calibrated to a target journal). R&R continuation via --peer --r2/--r3; hostile-editor stress test via --peer --stress; reviewer-disposition variance reporting via --peer --variance N. Auto-invokes /review-r + /audit-reproducibility on referenced scripts unless --no-cross-artifact.