compliance
US securities regulatory guidance for broker-dealers and investment advisers. Covers FINRA, SEC, ERISA, FinCEN, and CFA Institute GIPS requirements. Guidance-only — no Python scripts.
- version
- 1.0.0
- GitHub stars
- 225
Install
/plugin install compliance@finance-skillsRun it inside Claude Code after adding the marketplace with /plugin marketplace add JoelLewis/finance_skills.
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- Marketplace
- JoelLewis/finance_skills
- Source
- plugins/compliance
- Author
- Joel Lewis
- Category
- Finance
- Keywords
- compliance, regulatory, SEC, FINRA, ERISA, AML