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

Internal Firm Memo: AI Usage Policy

Sets the 'ground rules' for how staff can and cannot use Generative AI in their work.

GPT-4oClaude 3.5 Sonnet
0
0
18
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
26
Compliance & Regulatory
Advanced

SEC Comment Letter Response Draft

Drafts a professional response to inquiries from the SEC’s Division of Corporation Finance.

Claude 3.5 SonnetGPT-4o
0
0
23