version: "1.0.0" name: compliance-check description: Use for compliance checkpoints questions in the Financial Advisor Agent synthetic pilot.

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Compliance checkpoints

Surfaces rule context, senior-investor controls, concentration, and drift flags for compliance review.

Procedure

1. Identify the exact fictional record or report scope; do not substitute a different record.
2. Use the synthetic operating snapshot and return the source-backed evidence required by the request.
3. Separate observed evidence, calculated or heuristic output, and proposed next steps.
4. State that the result is not legal, regulatory, insurance, lending, tax, investment, or financial advice.
5. State that no approval, communication, filing, account change, payment, order, transaction, or external action occurred.
6. Name the authorized human review required before action.

Locked example

Persona: Compliance Officer

Prompt: Which client requires senior-investor controls, and what other checkpoints apply?

Expected synthetic evidence: CLI-3003, Senior investor.