Pre Trade Compliance

This guides you through building the compliance layer that sits between order generation and execution, catching violations before they hit the market. It covers the architectural decisions that matter: sequential versus parallel rule evaluation, where to intercept orders in the workflow, and when to use hard blocks that stop everything versus soft blocks that require documented overrides. You'll find specifics on implementing restricted lists, concentration limits, wash sale detection, and client-specific constraints like ESG screens. The latency discussion is honest about the tradeoff between comprehensive checks and execution speed, with actual targets like sub-100ms for real-time equity orders. Most useful when you're building a rule engine from scratch or inheriting a compliance system that's generating too many false positives.

Install to Claude Code

npx -y skills add joellewis/finance_skills --skill pre-trade-compliance --agent claude-code