Pre Trade Compliance
JoelLewis/finance_skills/plugins/trading-operations/skills/pre-trade-complianceby JoelLewis5c498eacf7057e31238c4c5a8012a1afe9ec7c8aNo licenseListed Oct 9, 2026Updated Oct 9, 2026
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.
Only the file list is public. File contents are available once the skill is installed in a workspace.
| Path | Size | Type |
|---|---|---|
| references/examples.md | 14.5 KB | text/markdown |
| SKILL.md | 38.3 KB | text/markdown |
Source and attribution
Source:JoelLewis/finance_skillsinplugins/trading-operations/skills/pre-trade-complianceat commit5c498ea
License: No license
Content belongs to its original authors. SourceWeft indexes it from a public repository.
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