client-disclosures

Name: client-disclosures
Availability: InStock
Author: joellewis

Guide creation and delivery of client disclosure documents for investment advisers.

164|33|Updated Feb 15, 2026

Search Tags:#compliance #regulatory #disclosure #broker-dealer #form adv #investment adviser #form crs

Ready to run

npx skills add https://github.com/JoelLewis/finance_skills --skill client-disclosures

💬 Prompt for ChatGPT / Claude Chat▼

Please help me install this Agent Skill.
Skill: client-disclosures
Source: https://github.com/JoelLewis/finance_skills/tree/main/plugins/compliance/skills/client-disclosures
Command: npx skills add https://github.com/JoelLewis/finance_skills --skill client-disclosures

SYSTEM DOCUMENTATION & REQUIREMENTS

What problem does it solve?

This Skill helps navigate the complex requirements for creating, delivering, and managing essential client disclosure documents, ensuring compliance with regulatory obligations.

Core Features & Use Cases

Disclosure Guidance: Understand the content and delivery timelines for Form ADV, Form CRS, prospectuses, privacy notices, and trade confirmations.
Workflow Design: Assist in building compliant client onboarding and ongoing communication processes.
Use Case: A new investment advisor needs to understand what documents to provide to a prospective client before opening an account and how to deliver them compliantly.

Quick Start

Explain the requirements for delivering Form CRS to new clients.

Frequently Asked Questions about client-disclosures

High-intent search queries and answers about installing and using this skill.

FAQPage Schema

What client disclosure documents do I need to provide when onboarding a new investment advisory client?▼

You must deliver Form ADV, Form CRS, privacy notices, and prospectuses during client onboarding. This Skill outlines the required disclosure documents, their content specifications, and compliant delivery workflows based on SEC and FINRA regulatory obligations.

How do I ensure compliant delivery of Form CRS to retail clients?▼

Compliant Form CRS delivery requires providing the document to retail clients before or at the time of entering an advisory or brokerage relationship. This Skill assists in building the workflow and tracking the delivery timelines to satisfy SEC regulatory compliance rules.

When do I need to update Form ADV and deliver amended disclosures to existing clients?▼

Form ADV updates and subsequent disclosure delivery to existing clients are required annually and upon material changes. This Skill guides the process of managing ongoing communication workflows and ensuring regulatory compliance for amended disclosure documents.

Does this guidance cover both SEC investment adviser and FINRA broker-dealer disclosure rules?▼

Yes, the disclosure guidance covers both SEC investment adviser rules and FINRA broker-dealer rules. It addresses the regulatory compliance requirements for Form ADV, Form CRS, trade confirmations, account statements, and privacy notices across both regulatory frameworks.

What are the delivery timeline requirements for prospectuses and trade confirmations?▼

Prospectus and trade confirmation delivery timelines depend on specific SEC and FINRA transaction rules. This Skill helps map the compliant delivery schedule and content requirements to ensure financial institution disclosures meet regulatory standards.

Can I use this to build a compliant client onboarding workflow from scratch?▼

Yes, you can use this Skill to design a compliant client onboarding workflow from scratch. It assists in structuring the communication processes, timing the delivery of required disclosure documents, and verifying regulatory compliance for new accounts.