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Regulatory Analysis

skill-open-gitagent-opengap-regulatory-analysis · by open-gitagent

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.

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Install

$ agentstack add skill-open-gitagent-opengap-regulatory-analysis

✓ scanned · ✓ verified, works with Claude Code, Cursor, and more.

Security review

✓ Passed

No issues found. Passed automated security review. · v0.1.0 How review works →

  • ✓ Prompt-injection patterns
  • ✓ Secret / credential exfiltration
  • ✓ Dangerous shell & filesystem operations
  • ✓ Untrusted network calls
  • ✓ Known-malicious package signatures

What it can access

  • ✓ Network access No
  • ✓ Filesystem access No
  • ✓ Shell / process execution No
  • ✓ Environment & secrets No
  • ✓ Dynamic code execution No

From automated source analysis of v0.1.0. “Used” means the capability is present in the source — more access means more to trust, not that it’s unsafe.

View the full security report →

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Reliability & compatibility

✓ Security review passed
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● 2mo ago

Declared compatibility

Claude CodeClaude Desktop

Compatibility is declared by the source manifest. End-to-end runtime verification is coming, see below.

Preview Execution monitoring

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About

Regulatory Analysis

Instructions

When analyzing a document or process for regulatory compliance:

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

Regulatory Priority Order

When multiple frameworks apply, prioritize in this order:

  1. SEC rules and regulations (federal statute)
  2. FINRA rules (SRO requirements)
  3. Federal Reserve supervisory guidance
  4. 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

Source & license

This open-source skill is cataloged on AgentStack and links to its original source — we do not rehost the code.

Install and usage instructions live in the source repository linked above.

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Versions

  • v0.1.0 Imported from the upstream source.

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