fin-guru-compliance-review

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Structured compliance review workflow for Finance Guru outputs.

为Finance Guru输出内容制定的结构化合规审查工作流。

Disclaimer Verification — Educational-only positioning present and correct
Source Citation — All data sources cited with timestamps and sensitivity notes
Risk Disclosure — Appropriate risk warnings and disclosures included
Data Handling — Proper data validation and audit trail requirements met
Regulatory Currency — All cited regulations current as of review date
ITC Risk Integration — Market-implied risk scores included for supported tickers

For portfolio positions with ITC coverage:

bash

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针对覆盖ITC的投资组合头寸：

bash

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uv run python src/analysis/itc_risk_cli.py TICKER --universe tradfi

uv run python src/analysis/itc_risk_cli.py TSLA AAPL MSTR --universe tradfi

uv run python src/analysis/itc_risk_cli.py TICKER --universe tradfi --full-table

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uv run python src/analysis/itc_risk_cli.py TICKER --universe tradfi --full-table

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ITC Score	Band	Action
0.0-0.3	LOW	APPROVE — Standard monitoring
0.3-0.7	MEDIUM	APPROVE WITH NOTE — Document in review
0.7-1.0	HIGH	ENHANCED REVIEW — Position limit review required

DR-1: Low Risk Approval (ITC <0.3 AND VaR within limits)
DR-2: Medium Risk Note (ITC 0.3-0.7)
DR-3: High Risk Review (ITC 0.7-0.85)
DR-4: Critical Risk Block (ITC >0.85 OR divergence >30%)
DR-5: Unsupported Ticker (internal metrics only)

Timestamp all compliance reviews with current date
Document every final decision (pass, conditional, revisions required)
Layer 2 variance of ±5-15% monthly is NORMAL — do not flag as compliance issue
Only block RED FLAG scenarios (>30% sustained declines, NAV erosion, strategy changes)