Intermediate

Regulation FD Compliance Checklist

Ensures that material information is disclosed to the public and not just select analysts.

Develop a 10-point checklist for the IR (Investor Relations) team for an upcoming {event_type} (e.g., Earnings Call). Include items for: 1. Verification of public disclosure, 2. Handling of 'accidental' leaks, and 3. Scripts for Q&A to avoid 'Selective Disclosure' of {topic}.

Related Prompts

Compliance & Regulatory
Advanced

Cybersecurity Disclosure (Item 106 of Reg S-K)

Drafts the new required SEC disclosure regarding cybersecurity risk management and strategy.

GPT-4oClaude 3.5 Sonnet
0
0
2
Compliance & Regulatory
Intermediate

SOX Control Matrix (RCM) Builder

Maps financial risks to specific controls, ensuring no gaps in the internal control environment.

GPT-4oGemini 1.5 Pro
0
0
2
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
0
0
2