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Legal & Compliance · By JoelLewis
Skills
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| # | Skill | Repository | Stars | Used in | Tokens | Auto-check | Licence | Updated |
|---|---|---|---|---|---|---|---|---|
| 1 | Guide the design and maintenance of recordkeeping programs under SEC Rules 17a-3, 17a-4, and 204-2. | JoelLewis/ | 206 | — | ~11k | Automated safety check: Pass | MIT | 2 mo ago |
| 2 | Design, generate, and deliver client performance reports across all channels, covering quarterly reports, tax reporting, portal integration, and compliance review. | JoelLewis/ | 206 | — | ~9.9k | Automated safety check: Pass | MIT | 2 mo ago |
| 3 | Prepare for and respond to SEC and FINRA regulatory examinations across the full exam lifecycle. | JoelLewis/ | 206 | — | ~9.8k | Automated safety check: Pass | MIT | 2 mo ago |
| 4 | Ensure firms claiming GIPS compliance under the CFA Institute Global Investment Performance Standards satisfy requirements for composite construction, performance calculation, presentation, and… | JoelLewis/ | 206 | — | ~9k | Automated safety check: Pass | MIT | 2 mo ago |
| 5 | Guide the design and implementation of automated pre-trade compliance systems that validate orders before execution. | JoelLewis/ | 206 | — | ~9.8k | Automated safety check: Pass | MIT | 2 mo ago |
| 6 | Guide BSA/AML compliance program design, ongoing transaction monitoring, and FinCEN reporting for broker-dealers, banks, and investment advisers. | JoelLewis/ | 206 | — | ~6.2k | Automated safety check: Pass | MIT | 2 mo ago |
| 7 | Design and operate privacy and data security programs for SEC-registered firms under Reg S-P, Reg S-ID, and SEC cybersecurity expectations. | JoelLewis/ | 206 | — | ~11k | Automated safety check: Pass | MIT | 2 mo ago |
