Beginner

Conflict of Interest Disclosure Form

Ensures firm independence by having staff disclose outside interests.

Draft an annual 'Conflict of Interest' disclosure form for all staff at {firm_name}. Include sections for: 1. External board positions, 2. Financial interests in {client_list}, 3. Family relationships with client employees, and 4. Acceptance of gifts over {gift_limit}. Include a signature line for 'Independence Confirmation.'

Related Prompts

Compliance & Regulatory
Intermediate

Insider Trading Policy Memo

Drafts an internal memo explaining 'Blackout Periods' and 'Material Non-Public Information'.

GPT-4oClaude 3.5 Sonnet
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0
224
Compliance & Regulatory
Advanced

Cybersecurity Incident Response Plan (Firm)

A step-by-step guide for what the firm must do if client data is breached.

GPT-4oClaude 3.5 Sonnet
0
0
157
Compliance & Regulatory
Advanced

AML/KYC Risk Scoring Logic

Develops a framework for assessing customer risk levels for anti-money laundering compliance.

Claude 3.5 SonnetGPT-4o
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0
139