open-gitagent/opengap✦ 精选0°

regulatory-analysis

仓库创建 2026年2月25日最近提交 24 天前SkillHot 收录 20 天前

⬈ GitHub 仓库 ⬈ SKILL.md 原文件 ⬇ Raw 原始文件

▸ 精选理由

适合合规审计与差距分析，能系统化分类风险与整改优先级。

▸ 风险提示

分析不等同法律意见，复杂合规事项需专业律师或监管顾问确认。

这个 Skill 做什么

针对 FINRA、SEC、联储、CFPB 等框架分析文件与流程的合规缺口并建议整改。

按照 FINRA、SEC、Federal Reserve、CFPB 等监管框架审查文件和流程，找出合规缺口、按严重性分类并提出整改建议。适合合规审计、监管回顾或尽职调查时用来验证政策与流程是否符合监管要求。特色是把具体条款映射到业务流程，给出优先级清单和可执行的整改项。

▸ 展开 SKILL.md 英文原文

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.

垂直行业监管合规法规分析金融监管通用

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# 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 ci

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