conflicts-of-interest
CommunityNavigate financial conflicts of interest.
Legal & Compliance#compliance#mitigation#disclosure#financial regulation#conflicts of interest#reg bi#fiduciary duty
AuthorJoelLewis
Version1.0.0
Installs0
System Documentation
What problem does it solve?
This Skill helps identify, disclose, and mitigate conflicts of interest in financial advisory and brokerage relationships, ensuring compliance with regulations like Reg BI and fiduciary duty.
Core Features & Use Cases
- Conflict Identification: Recognizes various conflict types, including compensation-based, proprietary product, principal trading, soft dollars, and pay-to-play scenarios.
- Regulatory Guidance: Provides detailed explanations of Reg BI and IA Fiduciary Duty obligations related to conflicts.
- Mitigation Strategies: Outlines the hierarchy of eliminating, mitigating, and disclosing conflicts.
- Use Case: When a user asks about recommending proprietary funds over lower-cost alternatives, this skill can explain the conflict, disclosure requirements, and potential regulatory implications.
Quick Start
Use the conflicts-of-interest skill to understand the disclosure obligations for revenue sharing arrangements.
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: conflicts-of-interest Download link: https://github.com/JoelLewis/finance_skills/archive/main.zip#conflicts-of-interest Please download this .zip file, extract it, and install it in the .claude/skills/ directory.
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