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Found 2 Skills
Design and operate privacy and data security programs for SEC-registered firms under Reg S-P, Reg S-ID, and SEC cybersecurity expectations. Use when the user asks about privacy notices, the Safeguards Rule, identity theft prevention programs, breach notification obligations, vendor security due diligence, incident response planning, data classification, or state privacy law compliance. Also trigger when users mention 'customer data was exposed', 'do we need to notify clients of a breach', 'cybersecurity exam prep', 'cloud vendor risk assessment', 'encrypting client data', 'BYOD security policy', 'Red Flags Rule', 'NY DFS 500 requirements', or ask how to handle a cybersecurity incident.
Guide fee disclosure compliance across advisory, brokerage, fund, and retirement plan contexts. Use when the user asks about Form ADV Item 5 fee schedules, prospectus fee table format, Reg BI cost disclosure obligations, 12b-1 fee transparency, revenue sharing arrangements, wrap fee program costs, or ERISA 408(b)(2) service provider fee disclosure. Also trigger when users mention 'hidden fees', 'total cost to the client', 'are we disclosing all layers of fees', 'expense ratio comparison', 'fee billing in advance vs arrears', 'share class selection', 'indirect compensation', or ask whether fee disclosures are complete and compliant.