advice-standards
CommunityNavigate investment advice regulations.
Legal & Compliance#regulatory compliance#investment advice#advisers act#regulation best interest#fintech regulation#robo-adviser
AuthorJoelLewis
Version1.0.0
Installs0
System Documentation
What problem does it solve?
This Skill clarifies the complex regulatory boundaries between financial education and regulated investment advice, helping users understand when registration or specific compliance measures are required.
Core Features & Use Cases
- Regulatory Line Drawing: Distinguishes between permissible education and regulated advice under key securities laws (Advisers Act, Reg BI).
- Trigger Identification: Helps identify when a product, platform, or communication crosses the line into requiring registration or adherence to best interest standards.
- Use Case: A fintech company is developing a new AI chatbot that discusses investment strategies. This Skill can help them determine if the chatbot's responses constitute investment advice, requiring the company to register as an investment adviser.
Quick Start
Use the advice-standards skill to determine if a robo-advisory tool requires registration as an investment adviser.
Dependency Matrix
Required Modules
None requiredComponents
references
💻 Claude Code Installation
Recommended: Let Claude install automatically. Simply copy and paste the text below to Claude Code.
Please help me install this Skill: Name: advice-standards Download link: https://github.com/JoelLewis/finance_skills/archive/main.zip#advice-standards Please download this .zip file, extract it, and install it in the .claude/skills/ directory.
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