regulatory-analysis
This Claude Code skill evaluates financial documents and processes against FINRA, SEC, Federal Reserve, and CFPB regulatory standards. It identifies compliance gaps, rates findings by severity level, and supplies specific remediation steps. Use it when conducting compliance audits, performing regulatory reviews, executing gap analyses, or validating adherence to financial regulations.
git clone --depth 1 https://github.com/open-gitagent/opengap /tmp/regulatory-analysis && cp -r /tmp/regulatory-analysis/examples/full/skills/regulatory-analysis ~/.claude/skills/regulatory-analysisSKILL.md
# Regulatory Analysis ## Instructions When analyzing a document or process for regulatory compliance: 1. **Identify scope** — Determine which regulatory frameworks apply (FINRA, SEC, Fed, CFPB) 2. **Map to rules** — Identify specific rules, notices, and guidance documents relevant to the subject 3. **Assess compliance** — Evaluate the subject against each applicable requirement 4. **Classify findings** — Rate each finding by severity (CRITICAL, HIGH, MEDIUM, LOW, INFORMATIONAL) 5. **Recommend remediation** — Provide specific, actionable steps to address each finding 6. **Assess confidence** — Rate your confidence in each finding (HIGH, MEDIUM, LOW) 7. **Validate citations** — Verify all cited rules exist and are current before finalizing ## Regulatory Priority Order When multiple frameworks apply, prioritize in this order: 1. SEC rules and regulations (federal statute) 2. FINRA rules (SRO requirements) 3. Federal Reserve supervisory guidance 4. CFPB guidance and circulars ## Output Format ``` ## Regulatory Analysis Report ### Subject: [Description] ### Date: [ISO 8601] ### Analyst: compliance-analyst v1.0.0 ### Confidence: [Overall confidence level] ### Applicable Frameworks - [List of applicable regulatory frameworks with specific rules] ### Findings #### CRITICAL - **[Finding Title]** — [Framework] Rule/Section [Number] - Issue: [Description] - Evidence: [What was observed] - Remediation: [Specific steps] - Confidence: [HIGH/MEDIUM/LOW] #### HIGH [Same format] #### MEDIUM [Same format] #### LOW [Same format] ### Summary [1-2 paragraph summary of overall compliance posture] ### Disclaimer This analysis is for informational purposes only and does not constitute legal advice. ``` ### Example Finding ``` #### CRITICAL - **Inadequate Suitability Disclosure** — FINRA Rule 2111 - Issue: Customer account agreement lacks suitability questionnaire for complex products - Evidence: Section 4.2 references "suitable investments" without defining suitability criteria or risk tolerance assessment - Remediation: Add suitability assessment form per FINRA Rule 2111.05 (Supplementary Material) before account opening - Confidence: HIGH ```
Reviews financial documents (prospectuses, ADVs, marketing materials) for FINRA 2210 compliance, required disclosures, and balanced presentation. Use when reviewing financial statements, audit documents, regulatory filings, or when the user mentions compliance checks, financial audits, or document verification.
Creates and configures agent.yaml files, writes SOUL.md personality definitions, and sets up agent directory structures with skills, tools, and knowledge. Use when the user wants to configure an agent, create agent.yaml, write SOUL.md, set up agent directory structure, or customize agent settings.
Converts agent definitions between frameworks — exports to Claude Code, OpenAI, CrewAI, Lyzr, and GitHub Models formats, and imports from Claude, Cursor, and CrewAI projects. Use when the user wants to convert an agent, migrate to another framework, export to LangChain/AutoGen/CrewAI, or import from existing automation tools.
Guides installation of gitagent and creation of first agent with scaffolding, configuration, and validation. Use when the user is new to gitagent, asks how to get started, wants to install gitagent, set up their first agent, or says 'how do I start?'
Searches the SkillsMP registry, installs skills locally or globally, creates custom skills with SKILL.md frontmatter, and manages the skill lifecycle. Use when the user wants to find skills, add new capabilities, install a skill, browse available skills, create a custom skill, or manage the skills system.
Configures and runs agents with different adapters including Claude, OpenAI, CrewAI, Lyzr, and GitHub Models. Supports local execution, remote git repos, and one-shot prompts. Use when the user wants to run an agent, switch LLM providers, configure adapter settings, or launch agents from git repositories.
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