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

regulatory-analysis

GitHub

用于金融监管合规分析，识别FINRA、SEC等框架下的合规差距，按严重程度分类发现并提供修复建议。适用于合规审计、政策审查及法规遵循性验证。

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

触发场景

进行合规审计执行监管审查开展差距分析验证金融政策遵循性

安装

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

更多选项

非标准路径

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

不安装直接使用

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