sec-compliance

What problem does it solve?

This Skill prevents investment recommendations from being published without the disclosures, audit trail, and risk warnings needed for SEC-aligned review. It helps teams avoid compliance gaps that can create regulatory, legal, and reputational risk.

Core Features & Use Cases

• Required disclosure checks: Verifies methodology explanations, data source timestamps, model versioning, and training-date reporting.
• Risk and disclaimer validation: Confirms that volatility notes, liquidity warnings, and the standard performance disclaimer are included.
• Audit readiness: Supports logging, traceability, and evidence capture for recommendation decisions and compliance reviews.
• Use case: A portfolio assistant generates a buy recommendation for a high-volatility stock, and this Skill checks that the output includes the necessary disclosures, confidence information, and audit metadata before it is shared.

Quick Start

Review the proposed investment recommendation against SEC disclosure, audit trail, and risk-warning requirements, then return a compliance verdict with any missing items.