Legal
Legal document generation and compliance
privacy-data-security
by JoelLewis
"Privacy and data security compliance: Reg S-P, Reg S-ID Red Flags Rule, SEC cybersecurity rules, state privacy laws, vendor management, incident response, data governance."
fiduciary-standards
by JoelLewis
"Fiduciary duty: IA Act Section 206, SEC 2019 Interpretation, ERISA fiduciary rules, DOL guidance, state-level standards, CFA Institute standards."
advice-standards
by JoelLewis
"Regulatory bright lines between investment education, recommendations, and investment advice under federal and state securities law"
pre-trade-compliance
by JoelLewis
"Automated pre-trade compliance: rule engines, concentration limits, restricted lists, hard and soft blocks, regulatory limits, client-specific restrictions, and compliance rule configuration."
investment-suitability
by JoelLewis
"Investment suitability obligations: FINRA Rules 2111/2090, reasonable-basis/customer-specific/quantitative suitability, product-specific concerns, household considerations."
order-management-advisor
by JoelLewis
"Advisor order management: order entry, block trading, allocation, order types, pre-trade compliance, custodian routing, model-driven trading, error handling, and audit trail."
account-maintenance
by JoelLewis
"Account maintenance operations: address changes, beneficiary updates, re-registration, cost basis management, account restrictions, standing instructions, and lifecycle changes."
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."
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."
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."
gips-compliance
by JoelLewis
"GIPS compliance: composite construction, performance presentation, verification, error correction, pooled funds, wrap/SMA programs, and advertising guidelines under the CFA Institute Global Investment Performance Standards."
counterparty-risk
by JoelLewis
"Counterparty risk management: counterparty exposure measurement, credit risk monitoring, netting agreements, collateral management, ISDA documentation, and central clearing."
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)."
know-your-customer
by JoelLewis
"KYC requirements: CIP, CDD, beneficial ownership, essential facts, customer profiling, ongoing monitoring, enhanced due diligence."
planner-rt-ica
by Jamie-BitFlight
Identify required inputs, dependencies, and uncertainty during planning. Use when generating plans or task graphs under incomplete information. Does not block plan generation; instead localizes gaps and creates unblock dependencies.
constitution-enforcer
by nahisaho
Validates compliance with 9 Constitutional Articles and Phase -1 Gates before implementation. Trigger terms: constitution, governance, compliance, validation, constitutional compliance, Phase -1 Gates, simplicity gate, anti-abstraction gate, test-first, library-first, EARS compliance, governance validation, constitutional audit, compliance check, gate validation. Enforces all 9 Constitutional Articles with automated validation: - Article I: Library-First Principle - Article II: CLI Interface Mandate - Article III: Test-First Imperative - Article IV: EARS Requirements Format - Article V: Traceability Mandate - Article VI: Project Memory - Article VII: Simplicity Gate - Article VIII: Anti-Abstraction Gate - Article IX: Integration-First Testing Runs Phase -1 Gates before any implementation begins. Use when: validating project governance, checking constitutional compliance, or enforcing quality gates before implementation.
accessibility
by shipshitdev
Expert in web accessibility (WCAG 2.1 AA compliance) for React/Next.js applications, ensuring all projects are usable by everyone
vendor-evaluation
by proflead
Evaluate third-party vendors for engineering fit. Use when a senior developer needs a structured vendor assessment.