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compliance

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Review any client-facing message or material (emails, letters, newsletters, social posts, website copy, presentations, performance reports, proposals) for compliance with SEC rules that govern investment advisers — the Marketing Rule (206(4)-1), fiduciary duty / antifraud provisions (206), Books and Records (204-2), and Reg BI / FINRA 2210 where broker-dealer activity applies. Produces a fail/flag/note markup, required disclosures, a books-and-records scratch-pad entry, and an archiving handoff reminder. Triggers on "compliance check", "/compliance", "is this compliant", "review this before I send it", "can I say this to a client", "check this email/post/deck". Use it whenever an advisor asks to check, review, or look over anything before it goes to a client or prospect — "check this before I send it", "look this over before it goes out" — even a routine note, because deciding that a message needs no changes is part of the review, not a reason to skip it.

skills/compliance/SKILL.md

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Last checked
Nov 11, 2026

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Nov 2, 2026
License
Apache-2.0

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# Compliance Marketing Review

This is a **pre-check** against SEC marketing rules, run **before** content goes out — the goal is to improve a draft's odds with the firm's own compliance review, not to perform that review: catch violations, suggest rewording that addresses them, and leave a record.

This skill supports advisers, it does not replace them: output is a **draft review for the firm's CCO/compliance officer**, not a legal determination or an approval. Nothing here means the content "passed compliance" — it means the problems this review found are flagged, with suggested fixes, before a human reviews it.

## Inputs

1. **The content** — pasted text, uploaded file, a draft Claude just wrote, or a draft already sitting in email or Drive. For the latter, look for that system's tools: a system whose tools are in your tool list, or come back from a `ToolSearch` by the system's own name, is connected and callable — search it for the draft. Where the session offers `ToolSearch`, a system's tools can be held back until it loads them, so search by name when its tools aren't already in your list; where it offers none, nothing is held back, and your tool list is every tool you have. Your own tools are the check that decides; `ListConnectors` (load via `ToolSearch` if not already available) explains a gap rather than establishing one, and an empty result from it means **unknown**, never "nothing is connected". If it isn't, follow the Connector Placeholder Convention (the plugin's conventions are defined in the onboarding skill) — say *"This is where I'd search [system] for the draft, but it isn't connected in this session. You can connect it from your connector settings"* — and degrade to asking the advisor to paste or upload it. Only use that wording when the connector genuinely isn't installed: `connected: true` with `enabledInChat: false` means it's switched off for this chat (say so, and that they can enable it here), and a missing or `null` `connected` means **unknown**, not disconnected.
2. **Context** (ask if unclear):
   - Audience: single client, prospect, or broad distribution (one-to-many)? — the Marketing Rule applies differently
   - Channel: email, social, website, print, presentation, text message
   - Firm type: SEC-registered RIA (default assumption), state-registered, dual registrant, or broker-dealer only — it decides which rules the review applies (Pass 1)
   - Does it mention performance, testimonials, third-party ratings, or hypothetical/projected results?
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