---
name: Finance Guru Compliance Review
slug: finance-guru-compliance-review
category: Quality
description: Finance Guru Compliance Review checks deliverables for disclaimers, source citations, risk disclosures, data handling, and current regulatory references. Use it when validating finance content or supported ticker risk outputs before approval.
github: "https://github.com/AojdevStudio/Finance-Guru/tree/main/.claude/skills/fin-guru-compliance-review"
language: Python
stars: 318
forks: 109
install: "npx degit https://github.com/AojdevStudio/Finance-Guru/tree/main/.claude/skills/fin-guru-compliance-review ~/.claude/skills/fin-guru-compliance-review"
installs_to: ~/.claude/skills/fin-guru-compliance-review
source_path: .claude/skills/fin-guru-compliance-review/SKILL.md
collection_size: 17
category_size: 1478
collection_url: "https://dirskills.com/collections/AojdevStudio/Finance-Guru"
added: 2026-09-03T06:03:33.393Z
last_synced: 2026-09-03T06:03:33.393Z
canonical_url: "https://dirskills.com/skills/finance-guru-compliance-review"
---

# Finance Guru Compliance Review

Finance Guru Compliance Review checks deliverables for disclaimers, source citations, risk disclosures, data handling, and current regulatory references. Use it when validating finance content or supported ticker risk outputs before approval.

**Install:**

```bash
npx degit https://github.com/AojdevStudio/Finance-Guru/tree/main/.claude/skills/fin-guru-compliance-review ~/.claude/skills/fin-guru-compliance-review
```

## README

# Compliance Review Skill

Structured compliance review workflow for Finance Guru outputs.

## Capability probe

Before validating an externally sourced filing or issuer claim, follow the shared **[paid MCP capability probe](../_shared/PaidMcpCapabilityProbe.md)**. This workflow wants `financial-datasets` for normalized filing data. If it is absent, announce a primary-source regulator/issuer `WebSearch` fallback and the manual-validation caveat, or stop when the claim cannot be verified reliably.

## Review Scope

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

## ITC Risk Validation Workflow

For portfolio positions with ITC coverage:

```bash
# Single ticker check
uv run python -m src.analysis.itc_risk_cli TICKER --universe tradfi

# Batch processing
uv run python -m src.analysis.itc_risk_cli TSLA AAPL MSTR --universe tradfi

# Full risk band analysis
uv run python -m src.analysis.itc_risk_cli TICKER --universe tradfi --full-table
```

## Risk Thresholds

| ITC Score | Band | Action |
|-----------|------|--------|
| 0.0-0.3 | LOW | APPROVE — Standard monitoring |
| 0.3-0.7 | MEDIUM | APPROVE WITH NOTE — Document in review |
| 0.7-1.0 | HIGH | ENHANCED REVIEW — Position limit review required |

## Decision Rules

- 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)

## Requirements

- 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)