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latour-ailatour-ai/skills/regulatory-exam-binder/SKILL.md

regulatory-exam-binder

Skill69 starsChanged 26 days agoNo licenceView on GitHub

Turn an SEC examination document request list into an organized, indexed production — mapping each request item to responsive firm records, surfacing the gaps where a policy exists but testing evidence does not, drafting narrative responses to examiner interview questions from the firm's actual policies, and producing a prioritized remediation list. Also runs as a mock exam against current exam priorities before any letter arrives. For chief compliance officers, compliance analysts, and COOs at registered investment advisers, private fund managers, and broker-dealers. Trigger on phrases like "we got an exam letter," "SEC document request," "prep for the exam," "run a mock exam," "map this request list," "what are we missing for the exam," "deficiency letter prep," "examiner interview questions," or when a user uploads an examination request list, compliance manual, or annual review document. Do NOT use for screening marketing material against the Marketing Rule — use the marketing-compliance-prescreen skill. Do NOT use for evaluating an external manager's compliance program — use the ddq-red-flag-scanner skill. Not legal advice; involve counsel.

The file

We split this skill into the rules it gives an agent

2 rules. About 0 are common, 2 are distinctive, and 0 are very specific to this project.

  • ≈0

    Common · estimate

    Many files like this have a rule of this kind.

  • ≈2

    Distinctive · estimate

    This author's own choices. Worth a look.

  • 0

    Very specific

    Tied to their project's names, files or tools. Probably skip.

No licence file, so all rights are reserved — read it at the source. We count its rules but don't quote them. Read them on GitHub.

≈ “Common” is an estimate: at least 1 in 5 of the 350,495 skill files we read have a rule of the same kind, not the same words. “Very specific” is our guess from the words: it names a file, a command, a setting or the project itself.

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