Client Disclosures

If you're building onboarding flows or compliance systems for investment advisers or broker-dealers, this walks you through what disclosure documents you actually need to deliver and when. It covers Form ADV Part 2A and 2B structure and timing, Form CRS formatting rules (down to the two-page limit and required conversation starters), prospectus delivery obligations for mutual funds versus ETFs, Reg S-P privacy notices, and trade confirmation requirements under Rule 10b-10. The content is detailed enough to design workflows around, with specific delivery triggers like "120 days after fiscal year end" for annual brochure updates or "at or before completion" for trade confirms. Good reference if you need to audit what you're missing or explain requirements to product teams.

Install to Claude Code

npx -y skills add joellewis/finance_skills --skill client-disclosures --agent claude-code