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.'

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AML/KYC Risk Scoring Logic

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

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Drafts a safe mechanism for employees to report unethical behavior.

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Conflict Minerals Disclosure (Form SD)

Drafts the narrative for companies sourcing minerals like tin, tungsten, or gold.

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