| name | compliance-check |
| description | Use for compliance checkpoints questions in the Financial Advisor Agent synthetic pilot. |
Compliance checkpoints
Surfaces rule context, senior-investor controls, concentration, and drift flags for compliance review.
Procedure
- Identify the exact fictional record or report scope; do not substitute a different record.
- Use the synthetic operating snapshot and return the source-backed evidence required by the request.
- Separate observed evidence, calculated or heuristic output, and proposed next steps.
- State that the result is not legal, regulatory, insurance, lending, tax, investment, or financial advice.
- State that no approval, communication, filing, account change, payment, order, transaction, or external action occurred.
- Name the authorized human review required before action.
Locked example
Persona: Compliance Officer
Prompt: Which client requires senior-investor controls, and what other checkpoints apply?
Expected synthetic evidence: CLI-3003, Senior investor.