学习切入点
这一类集中在美国证券和投资顾问合规，包括 KYC、AML、Reg BI、受托责任、广告合规、记录保存、隐私和监管检查。它适合作为“合规知识如何写进 skill”的优秀样本。
01
工作流分析
- 来源与路径：来自
community-joellewis-finance-skills，上游路径plugins/compliance/skills/regulatory-reporting/SKILL.md，本地路径12-financial-ai-skills/upstream-snapshots/community-joellewis-finance-skills/plugins/compliance/skills/regulatory-reporting/SKILL.md。 - 原始定位：上游描述：Guide regulatory filing obligations and deadlines for investment advisers, broker-dealers, and large traders. Use when the user asks about Form PF filing thresholds, 13F institutional holdings reports, 13H large trader filings, Form ADV amendment timing, FOCUS report preparation, blue sheet requests, CAT reporting infrastructure, or FINRA short interest and TRACE reporting. Also trigger when users mention 'filing deadline calendar', 'do we need to file Form PF', 'crossed the $100M 13F threshold', 'annual updating amendment', 'CAT clock synchronization', 'how to respond to a blue sheet request', 'FOCUS report errors', or ask which regulatory filings a firm must make and when.
- 金融业务理解：这一类集中在美国证券和投资顾问合规，包括 KYC、AML、Reg BI、受托责任、广告合规、记录保存、隐私和监管检查。它适合作为“合规知识如何写进 skill”的优秀样本。
- AI 工作流价值：它把金融专业知识写成可以被 agent 调用的“能力片段”。这种写法适合学习如何把长期经验沉淀成 skill：先定义适用场景，再列核心概念，再给例子和常见误区。
- 可迁移应用方向：可用于对照中国银行业反洗钱、消费者保护、销售适当性、数据安全和监管检查要求，设计中文本地化合规 skill。
- 风险与治理边界：治理重点是法域差异和规则引用。原 skill 引用 FINRA、SEC、FinCEN、ERISA、GIPS 等美国规则，不能直接作为中国业务判断依据。
↗
01 Skill 上游文件https://github.com/JoelLewis/finance_skills/blob/f553a84f7222/plugins/compliance/skills/regulatory-reporting/SKILL.mdFSK-132 · 查看仓库原文12-financial-ai-skills/professional-finance-service-skills-analysis-03.md原始来源与整理依据
文字分析来自内容源；业务分类、技术标签由 SeekingDAO 按规则整理。披露效果保留原有时间、范围和预测口径，未作独立审计。开源项目与 Skill 的当前许可、兼容性及依赖请以其上游为准。