Can it help determine if my firm needs to file Form 13F?

Yes, it evaluates whether an institutional investment manager has crossed the $100M threshold in 13(f) securities required to trigger quarterly reporting.

Is this skill suitable for both RIAs and broker-dealers?

Yes, it contains domain-specific knowledge tailored to the unique reporting obligations of both Registered Investment Advisers and FINRA-member broker-dealers.

What specific filings does this skill cover?

The skill provides guidance for a wide range of US financial filings including Form PF, 13F, 13H, Form ADV, FOCUS reports, and CAT reporting infrastructure.

How does it assist with Consolidated Audit Trail (CAT) reporting?

It offers guidance on CAT reporting infrastructure, clock synchronization compliance, and procedures for remediating reporting errors.

Does it provide information on filing deadlines?

Yes, it includes specific timing requirements for annual updating amendments, prompt interim amendments, and quarterly reporting cycles for various fund types.

Regulatory Reporting Compliance

Name: Regulatory Reporting Compliance
Author: JoelLewis

byJoelLewis

•

생산성 및 워크플로

Provides expert guidance on financial regulatory filing obligations, deadlines, and reporting workflows for investment firms.

This skill serves as a specialized knowledge layer for financial services compliance, specifically focusing on US regulatory reporting requirements. It assists users in navigating complex filing obligations like Form PF, 13F, 13H, and FOCUS reports by helping to define filing thresholds, determine submission deadlines, and design compliant operational workflows. By interpreting SEC and FINRA requirements, it enables firms to minimize enforcement risks associated with late or inaccurate submissions while streamlining the preparation of institutional holdings and audit trail data.

주요 기능

01Remediation procedures for reporting errors and blue sheet requests

0218 GitHub stars

03Detailed guidance on Form ADV annual and interim amendment timing

04Threshold analysis for Form PF, 13F, and 13H institutional reporting

05Filing deadline tracking for investment advisers and broker-dealers

06Operational workflow design for CAT and FOCUS report preparation

사용 사례

01Setting up a compliance calendar for a private fund's recurring filing obligations

02Designing automated data pipelines for Consolidated Audit Trail (CAT) reporting compliance

03Determining if an investment manager has crossed the $100M threshold for 13F reporting

What are Skills?·How to Install

Install with 🐟 Skill.Fish

npx skillfish add joellewis/finance_skills regulatory-reporting

For use in Claude.ai and ChatGPT

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