compliance-risk-qa

What problem does it solve?

This Skill helps you respond to financial sales compliance questions by determining what you can or cannot say and how to phrase risk warnings, suitability matching, and prohibited-sales boundaries.

Core Features & Use Cases

• Compliance risk Q&A for sales communications: Reviews and answers questions about whether certain statements, promises, or behaviors are compliant.
• Scenario-aware compliance guidance: Covers key areas like suitability management, risk disclosure obligations, sales script compliance, and whether agency-style operations or private commitments are allowed.
• Regulation-grounded conclusions with safer alternatives: Provides explicit can/cannot judgments, cites relevant rules, and supplies compliant replacement wording when needed.

Example use case: A client asks, "Is it compliant if we say this product guarantees returns?" or "Can we adjust risk prompts to fit the conversation?" The Skill will classify the issue, give a clear verdict, and provide a compliant risk-warning alternative.

Quick Start

Ask the assistant to answer whether a proposed sales script is compliant for suitability and risk warning in a specified scenario.