pre-trade-compliance
Guide the design and implementation of automated pre-trade compliance systems that validate orders before execution. Use when building a compliance rule engine for an RIA or broker-dealer, configuring hard blocks and soft blocks, maintaining restricted and watch lists including MNPI-driven restrictions, setting concentration limits at security/sector/issuer level, implementing position limits or short selling controls, enforcing wash sale detection or free-riding prevention or pattern day trader identification, applying client-specific ESG screens or legal constraints, designing compliance override workflows with authorization and documentation, backtesting compliance rules, or evaluating compliance check latency impact on execution quality.
Installation and usage
Guide the design and implementation of automated pre-trade compliance systems that validate orders before execution. Use when building a compliance rule engine for an RIA or broker-dealer, configuring hard blocks and soft blocks, maintaining restricted and watch lists including MNPI-driven restrictions, setting concentration limits at security/sector/issuer level, implementing position limits or short selling controls, enforcing wash sale detection or free-riding prevention or pattern day trader identification, applying client-specific ESG screens or legal constraints, designing compliance override workflows with authorization and documentation, backtesting compliance rules, or evaluating compliance check latency impact on execution quality.
설치 후 터미널에서 다음 명령을 실행하여 이 스킬을 사용할 수 있습니다:
skills use pre-trade-compliance