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fin-guru-compliance-review

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Compliance Review Skill

合规审查Skill

Structured compliance review workflow for Finance Guru outputs.
为Finance Guru输出内容制定的结构化合规审查工作流。

Review Scope

审查范围

  1. Disclaimer Verification — Educational-only positioning present and correct
  2. Source Citation — All data sources cited with timestamps and sensitivity notes
  3. Risk Disclosure — Appropriate risk warnings and disclosures included
  4. Data Handling — Proper data validation and audit trail requirements met
  5. Regulatory Currency — All cited regulations current as of review date
  6. ITC Risk Integration — Market-implied risk scores included for supported tickers
  1. 免责声明验证 — 确认仅作为教育用途的定位表述准确无误
  2. 来源引用 — 所有数据来源均标注时间戳及敏感性说明
  3. 风险披露 — 包含恰当的风险警示与披露内容
  4. 数据处理 — 满足数据验证及审计追踪的相关要求
  5. 监管时效性 — 所有引用的监管规定截至审查日期均为有效版本
  6. ITC风险整合 — 对支持的股票代码包含市场隐含风险评分

ITC Risk Validation Workflow

ITC风险验证工作流

For portfolio positions with ITC coverage:
bash
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针对覆盖ITC的投资组合头寸：
bash
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Single ticker check

Single ticker check

uv run python src/analysis/itc_risk_cli.py TICKER --universe tradfi
uv run python src/analysis/itc_risk_cli.py TICKER --universe tradfi

Batch processing

Batch processing

uv run python src/analysis/itc_risk_cli.py TSLA AAPL MSTR --universe tradfi
uv run python src/analysis/itc_risk_cli.py TSLA AAPL MSTR --universe tradfi

Full risk band analysis

Full risk band analysis

uv run python src/analysis/itc_risk_cli.py TICKER --universe tradfi --full-table
undefined
uv run python src/analysis/itc_risk_cli.py TICKER --universe tradfi --full-table
undefined

Risk Thresholds

风险阈值

ITC ScoreBandAction
0.0-0.3LOWAPPROVE — Standard monitoring
0.3-0.7MEDIUMAPPROVE WITH NOTE — Document in review
0.7-1.0HIGHENHANCED REVIEW — Position limit review required
ITC Score风险等级操作
0.0-0.3低风险批准 — 常规监控
0.3-0.7中风险附说明批准 — 在审查中记录
0.7-1.0高风险强化审查 — 需进行头寸限额审查

Decision Rules

决策规则

  • DR-1: Low Risk Approval (ITC <0.3 AND VaR within limits)
  • DR-2: Medium Risk Note (ITC 0.3-0.7)
  • DR-3: High Risk Review (ITC 0.7-0.85)
  • DR-4: Critical Risk Block (ITC >0.85 OR divergence >30%)
  • DR-5: Unsupported Ticker (internal metrics only)
  • DR-1：低风险批准（ITC <0.3 且VaR在限额内）
  • DR-2：中风险附说明（ITC 0.3-0.7）
  • DR-3：高风险审查（ITC 0.7-0.85）
  • DR-4：极高风险拦截（ITC >0.85 或偏离度>30%）
  • DR-5：未支持股票代码（仅使用内部指标）

Requirements

要求

  • Timestamp all compliance reviews with current date
  • Document every final decision (pass, conditional, revisions required)
  • Layer 2 variance of ±5-15% monthly is NORMAL — do not flag as compliance issue
  • Only block RED FLAG scenarios (>30% sustained declines, NAV erosion, strategy changes)
  • 为所有合规审查标注当前时间戳
  • 记录每一项最终决策（通过、有条件通过、需修订）
  • 第二层月度波动在±5-15%范围内属于正常情况，不得标记为合规问题
  • 仅拦截红旗预警场景（持续下跌超30%、NAV缩水、策略变更）