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joellewis avatar

Fiduciary Standards

joellewis/finance_skills
416 installs164 stars
Summary

This one helps you navigate whether a fiduciary duty applies and what it actually requires across different contexts: IA Act Section 206, ERISA retirement plans, DOL rollover rules, and state standards. It breaks down the SEC's 2019 interpretation of duty of care versus duty of loyalty, explains the ERISA prudent expert standard, and compares fiduciary duty against Reg BI and suitability. Use it when you're building compliance programs for dual registrants, evaluating rollover recommendations under PTE 2020-02, or just need to answer "are we a fiduciary here" with specifics. The layer 9 classification tells you this is compliance guidance, not legal advice.

Install to Claude Code

npx -y skills add joellewis/finance_skills --skill fiduciary-standards --agent claude-code

Installs into .claude/skills of the current project.

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Files
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Select a file.

Featured
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Categories
Productivity & PlanningMarketing & SEOFinance & Trading
First SeenJun 3, 2026
View on GitHub

More from joellewis/finance_skills

All 84 skills →
  • Client Review Prep413
  • Fee Billing410
  • Account Opening Workflow409
  • Statistics Fundamentals535
  • Asset Allocation534
  • Commodities513
  • Quantitative Valuation507
  • Order Lifecycle503
  • Finance Psychology496
  • Account Transfers495
  • Market Data487
  • Investment Policy483
  • Currencies And Fx465
  • Trade Execution465
  • Debt Management464
  • Privacy Data Security464
  • Data Quality461
  • Rebalancing461
  • Financial Planning Integration460
  • Financial Planning Workflow459
  • Historical Risk458
  • Advertising Compliance457
  • Volatility Modeling457
  • Liquidity Management455

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