investment-suitability
CommunityEnsure investment recommendations meet regulatory standards.
AuthorJoelLewis
Version1.0.0
Installs0
System Documentation
What problem does it solve?
This Skill helps financial professionals and AI agents assess whether investment recommendations comply with crucial FINRA suitability rules, protecting both clients and firms from regulatory and financial risks.
Core Features & Use Cases
- FINRA Rule 2111 Analysis: Evaluates recommendations against reasonable-basis, customer-specific, and quantitative suitability obligations.
- Product-Specific Guidance: Addresses suitability concerns for complex products like leveraged ETFs, variable annuities, and alternatives.
- Use Case: A financial advisor is considering recommending a complex structured product to a client. They can use this Skill to ensure their due diligence and client profile assessment meet all regulatory requirements before proceeding.
Quick Start
Use the investment-suitability skill to assess if recommending a leveraged ETF to a moderate-risk client is compliant.
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: investment-suitability Download link: https://github.com/JoelLewis/finance_skills/archive/main.zip#investment-suitability Please download this .zip file, extract it, and install it in the .claude/skills/ directory.
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