Regulatory Reporting

Guide the understanding and management of trade settlement and clearing processes. Use when designing settlement workflows for T+1 compliance, understanding DTC/NSCC/FICC clearing infrastructure, analyzing continuous net settlement (CNS) netting obligations, setting up institutional trade processing (affirmation, confirmation, allocation, matching), investigating settlement fails and designing fail reduction programs, implementing buy-in procedures under Reg SHO Rule 204, assessing corporate action impact on pending settlements, evaluating DVP/RVP mechanics for institutional deliveries, handling when-issued or as-of trades, or managing settlement bank relationships and intraday liquidity. Also covers FX funding gaps for cross-border T+1 settlement.

Build integrations with Google Workspace APIs (Gmail, Calendar, Drive, Sheets, Docs, Chat, Meet, Forms, Tasks, Admin SDK). Covers OAuth 2.0, service accounts, rate limits, batch operations, and Cloudflare Workers patterns. Use when building MCP servers, automation tools, or integrations with any Google Workspace API, or troubleshooting OAuth errors, rate limit 429 errors, scope issues, or API-specific gotchas.

Guide the design and management of trading venue connectivity and market data infrastructure. Owns the FIX session layer (logon, heartbeats, sequence number gaps, resend and gap recovery, disconnects). Use when building or troubleshooting FIX sessions for order routing or drop copy, integrating exchange protocols like OUCH, ITCH, PITCH, or Pillar, designing market data feed architecture (consolidated SIP vs direct feeds), handling trading halts or circuit breakers or LULD bands, planning co-location or failover and disaster recovery for exchange connectivity, implementing Rule 15c3-5 market access controls, or mapping symbology across venues and data sources. For order state machines and execution-report handling see order-lifecycle.

Guide identification, measurement, and management of operational risk in trading and brokerage operations. Use when designing trade error detection and correction procedures, investigating trade breaks and reconciliation failures, classifying loss events under Basel taxonomy, developing key risk indicators (KRIs) and dashboards, responding to system outages or data feed failures or order routing errors, conducting root cause analysis after a trade error or operational incident, planning business continuity and disaster recovery for trading desks, preparing for FINRA or SEC operational risk examinations, or assessing technology risk in OMS and market data systems. Also covers fat-finger errors, error account P&L, and corrective action tracking.

Build, fix, audit, and migrate Drift persistence in Dart CLI, server-side, and non-Flutter desktop apps. Use when adding SQLite with package:drift/native.dart, configuring PostgreSQL with drift_postgres and package:postgres, writing type-safe tables, queries, writes, streams, and migrations, resolving build_runner or drift_dev failures, or validating Dart database code with code generation, analysis, tests, and migration checks.

Guide the design and maintenance of recordkeeping programs under SEC Rules 17a-3, 17a-4, and 204-2. Use when the user asks about document retention schedules, how long to keep trade records or customer complaints, WORM storage requirements, email or text message archiving, social media capture, BYOD compliance policies, or electronic storage audit trails. Also trigger when users mention 'we got an exam request for records', 'migrating to a new archiving vendor', 'blotter retention', 'order ticket requirements', 'off-channel communications', 'WhatsApp archiving', or ask how long specific records must be kept.