pre-trade-compliance
CommunityAutomate pre-trade compliance checks.
AuthorJoelLewis
Version1.0.0
Installs0
System Documentation
What problem does it solve?
This Skill helps design and implement automated systems that validate financial orders against regulatory rules and firm policies before execution, preventing compliance violations and minimizing trading friction.
Core Features & Use Cases
- Rule Engine Design: Configure hard and soft blocks for various compliance violations.
- List Management: Maintain restricted, watch, and personal trading lists.
- Limit Enforcement: Set concentration, position, and exposure limits.
- Regulatory Adherence: Enforce rules like wash sales, free-riding, and pattern day trading.
- Override Workflows: Design structured processes for overriding compliance blocks with proper authorization and documentation.
- Use Case: A broker-dealer needs to ensure all outgoing trades comply with SEC regulations and client-specific investment mandates. This Skill guides the setup of a system that flags or blocks trades violating these rules, such as trading a restricted security or exceeding a client's sector allocation limit.
Quick Start
Use the pre-trade-compliance skill to design a rule engine that flags orders violating client-specific ESG screens.
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: pre-trade-compliance Download link: https://github.com/JoelLewis/finance_skills/archive/main.zip#pre-trade-compliance Please download this .zip file, extract it, and install it in the .claude/skills/ directory.
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