What documents does this skill cover?

It covers Form ADV (Part 1, 2A, 2B), Form CRS, mutual fund and ETF prospectuses, privacy notices (Reg S-P), trade confirmations, and account statements.

Does it help with SEC filing requirements?

Yes, it provides detailed guidance on the content and timing for filings like Form ADV via IARD and Form CRS.

Is it suitable for both RIAs and Broker-Dealers?

Yes, the skill addresses regulations applicable to both Registered Investment Advisers and Broker-Dealers, including Reg BI requirements and FINRA Rule 2231.

Can it help design electronic delivery workflows?

Absolutely, it includes guidance on SEC requirements for electronic consent, access-equals-delivery rules, and record-keeping for digital disclosures.

Financial Client Disclosures

Name: Financial Client Disclosures
Author: JoelLewis

byJoelLewis

•

学習とドキュメンテーション

Guides the creation, content, and delivery of required disclosure documents for investment advisers and broker-dealers.

The Financial Client Disclosures skill provides expert guidance on regulatory document obligations within the financial services sector. It covers the complete lifecycle of Form ADV, Form CRS, prospectuses, privacy notices, and trade confirmations, helping firms design compliant onboarding workflows. Users can leverage this skill to ensure adherence to SEC and FINRA standards regarding document content, delivery timing, and the transition from paper to electronic delivery methods.

主な機能

01Prospectus and SAI delivery requirements for mutual funds and ETFs

02Regulation S-P privacy notice and opt-out workflow design

03Form CRS implementation, formatting, and trigger-point analysis

04Trade confirmation and account statement distribution standards

0518 GitHub stars

06Form ADV Part 2A and 2B content and delivery guidance

ユースケース

01Designing automated client onboarding workflows that integrate mandatory document delivery

02Implementing electronic delivery systems that meet regulatory consent and tracking requirements

03Auditing firm disclosure documents for compliance with current SEC and FINRA regulations

What are Skills?·How to Install

Install with 🐟 Skill.Fish

npx skillfish add joellewis/finance_skills client-disclosures

For use in Claude.ai and ChatGPT

Download Skill