金融
个人理财、预算与财务工具
stock-analyst
chengzuopeng
股票技术分析专家 - 提供专业的 K 线形态和技术指标分析，给出投资建议
data-quality
JoelLewis
"Financial data quality management: golden source architecture, data lineage, validation rules, exception management, profiling, monitoring, and governance frameworks."
market-data
JoelLewis
"Market data management: real-time vs delayed feeds, Level 1/2/3 data, data vendors, consolidated tape, market data licensing, distribution, and infrastructure."
sales-practices
JoelLewis
"FINRA and SEC rules governing sales conduct: churning, breakpoint abuse, selling away, unauthorized trading, supervision, senior protections, VA and options suitability."
portfolio-management-systems
JoelLewis
"Portfolio management systems (PMS) for RIAs: model portfolios, sleeve-based/UMA management, drift monitoring, rebalancing, held-away aggregation, portfolio accounting, TWR/MWR performance, billing, custodian feeds. Platforms: Orion, Black Diamond, Tamarac, Addepar, Advent/APX."
conflicts-of-interest
JoelLewis
"Identifying, disclosing, and mitigating conflicts of interest across the advisory and brokerage landscape."
privacy-data-security
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
JoelLewis
"Fiduciary duty: IA Act Section 206, SEC 2019 Interpretation, ERISA fiduciary rules, DOL guidance, state-level standards, CFA Institute standards."
advice-standards
JoelLewis
"Regulatory bright lines between investment education, recommendations, and investment advice under federal and state securities law"
pre-trade-compliance
JoelLewis
"Automated pre-trade compliance: rule engines, concentration limits, restricted lists, hard and soft blocks, regulatory limits, client-specific restrictions, and compliance rule configuration."
proposal-generation
JoelLewis
"Investment proposal generation: risk profiling output, model portfolio recommendation, fee illustration, scenario projections, compliance review, and proposal delivery for advisory practices."
return-calculations
JoelLewis
"Compute and explain investment return metrics: TWR, MWR/IRR, CAGR, annualization, sub-period linking, arithmetic vs geometric vs log returns."
investment-suitability
JoelLewis
"Investment suitability obligations: FINRA Rules 2111/2090, reasonable-basis/customer-specific/quantitative suitability, product-specific concerns, household considerations."
order-management-advisor
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
JoelLewis
"Account maintenance operations: address changes, beneficiary updates, re-registration, cost basis management, account restrictions, standing instructions, and lifecycle changes."
post-trade-compliance
JoelLewis
"Post-trade compliance and surveillance: trade surveillance, pattern detection, best execution review, allocation fairness, exception-based monitoring, and regulatory reporting triggers."
operational-risk
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
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
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
JoelLewis
"Margin operations: Reg T initial margin, maintenance margin, portfolio margin, margin call procedures, liquidation waterfall, SBLOC, and margin risk management."
workflow-automation
JoelLewis
"Workflow automation for securities operations: BPM concepts, task routing, approval chains, escalation rules, SLA monitoring, and process orchestration patterns."
settlement-clearing
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
JoelLewis
"Client disclosure documents: Form ADV, Form CRS, prospectus delivery, Reg S-P privacy, trade confirmations, account statements, delivery timing."
anti-money-laundering
JoelLewis
"BSA/AML compliance: CTRs, SARs, OFAC screening, structuring detection, FinCEN requirements, red flags for money laundering."