Agent Skills › open-gitagent/opengap › regulatory-analysis

regulatory-analysis

GitHub

针对FINRA、SEC等金融监管框架进行合规性分析，识别差距并推荐补救措施。适用于合规审计、监管审查及政策一致性验证场景。

examples/full/skills/regulatory-analysis/SKILL.md open-gitagent/opengap

Trigger Scenarios

合规审计监管审查差距分析验证政策对金融法规的遵循情况

Install

npx skills add open-gitagent/opengap --skill regulatory-analysis -g -y

More Options

Non-standard path

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

Use without installing

npx skills use open-gitagent/opengap@regulatory-analysis

指定 Agent (Claude Code)

npx skills add open-gitagent/opengap --skill regulatory-analysis -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": "regulatory-analysis",
    "license": "proprietary",
    "metadata": {
        "author": "gitagent-examples",
        "version": "1.0.0",
        "category": "compliance",
        "risk_tier": "high",
        "regulatory_frameworks": "finra,sec,federal_reserve,cfpb"
    },
    "description": "Analyzes documents and processes against FINRA, SEC, Federal Reserve, and CFPB regulatory frameworks. Identifies compliance gaps, classifies findings by severity, and recommends remediation. Use when performing compliance audits, regulatory reviews, gap analyses, or verifying policy adherence to financial regulations.",
    "allowed-tools": "search-regulations"
}

Regulatory Analysis

Instructions

When analyzing a document or process for regulatory compliance:

Identify scope — Determine which regulatory frameworks apply (FINRA, SEC, Fed, CFPB)
Map to rules — Identify specific rules, notices, and guidance documents relevant to the subject
Assess compliance — Evaluate the subject against each applicable requirement
Classify findings — Rate each finding by severity (CRITICAL, HIGH, MEDIUM, LOW, INFORMATIONAL)
Recommend remediation — Provide specific, actionable steps to address each finding
Assess confidence — Rate your confidence in each finding (HIGH, MEDIUM, LOW)
Validate citations — Verify all cited rules exist and are current before finalizing

Regulatory Priority Order

When multiple frameworks apply, prioritize in this order:

SEC rules and regulations (federal statute)
FINRA rules (SRO requirements)
Federal Reserve supervisory guidance
CFPB guidance and circulars

Output Format

## Regulatory Analysis Report

### Subject: [Description]
### Date: [ISO 8601]
### Analyst: compliance-analyst v1.0.0
### Confidence: [Overall confidence level]

### Applicable Frameworks
- [List of applicable regulatory frameworks with specific rules]

### Findings

#### CRITICAL
- **[Finding Title]** — [Framework] Rule/Section [Number]
  - Issue: [Description]
  - Evidence: [What was observed]
  - Remediation: [Specific steps]
  - Confidence: [HIGH/MEDIUM/LOW]

#### HIGH
[Same format]

#### MEDIUM
[Same format]

#### LOW
[Same format]

### Summary
[1-2 paragraph summary of overall compliance posture]

### Disclaimer
This analysis is for informational purposes only and does not constitute legal advice.

Example Finding

#### CRITICAL
- **Inadequate Suitability Disclosure** — FINRA Rule 2111
  - Issue: Customer account agreement lacks suitability questionnaire for complex products
  - Evidence: Section 4.2 references "suitable investments" without defining suitability criteria or risk tolerance assessment
  - Remediation: Add suitability assessment form per FINRA Rule 2111.05 (Supplementary Material) before account opening
  - Confidence: HIGH