Agent Skills › open-gitagent/opengap › document-review

document-review

GitHub

用于审查金融文档（如招股书、ADV）是否符合FINRA 2210合规性，检查披露内容、准确性及风险收益平衡。

examples/full/skills/document-review/SKILL.md open-gitagent/opengap

Trigger Scenarios

审查金融陈述或审计报告监管文件验证提及合规检查

Install

npx skills add open-gitagent/opengap --skill document-review -g -y

More Options

Non-standard path

npx skills add https://github.com/open-gitagent/opengap/tree/main/examples/full/skills/document-review -g -y

Use without installing

npx skills use open-gitagent/opengap@document-review

指定 Agent (Claude Code)

npx skills add open-gitagent/opengap --skill document-review -a claude-code -g -y

安装 repo 全部 skill

npx skills add open-gitagent/opengap --all -g -y

预览 repo 内 skill

npx skills add open-gitagent/opengap --list

SKILL.md

Frontmatter

{
    "name": "document-review",
    "license": "proprietary",
    "metadata": {
        "author": "gitagent-examples",
        "version": "1.0.0",
        "category": "compliance",
        "risk_tier": "high"
    },
    "description": "Reviews financial documents (prospectuses, ADVs, marketing materials) for FINRA 2210 compliance, required disclosures, and balanced presentation. Use when reviewing financial statements, audit documents, regulatory filings, or when the user mentions compliance checks, financial audits, or document verification.",
    "allowed-tools": "search-regulations generate-report"
}

Document Review

Instructions

When reviewing a financial document:

Classify the document — Determine document type (prospectus, ADV, customer agreement, marketing material, etc.)
Identify applicable rules — Map to FINRA 2210 (communications), SEC disclosure requirements, etc.
Check required elements — Verify all required disclosures, disclaimers, and content are present
Assess accuracy — Flag potentially misleading, exaggerated, or promissory statements
Check balance — Per FINRA 2210, ensure risks and benefits are presented in a balanced manner
Review formatting — Verify required prominence of disclosures

Key Checks

All required disclosures present
No misleading or exaggerated claims
Balanced presentation of risks and benefits
Proper disclaimers included
Correct classification (correspondence/retail/institutional)
Principal pre-approval status verified (if retail communication)

Output Format

For each finding, produce:

### [SEVERITY] — [Rule Reference]
- **Issue**: [What was found]
- **Location**: [Section/page reference]
- **Recommended action**: [Specific fix]

Example Finding

### WARNING — FINRA 2210(d)(1)(A)
- **Issue**: Performance claim "consistently outperforms the market" lacks supporting data and time period
- **Location**: Page 2, paragraph 3
- **Recommended action**: Add specific time period, benchmark comparison, and standardized performance data per SEC Rule 482