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
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
177
Compliance & Regulatory
Beginner

KYC file checklist and deficiency remediation letter template

Creates a KYC document checklist and a client-facing deficiency letter template. Useful for onboarding teams and compliance operations.

GPT-5.2 Thinking; GPT-4.1; o3-mini
0
0
140
Compliance & Regulatory
Intermediate

Insider Trading Policy Memo

Drafts an internal memo explaining 'Blackout Periods' and 'Material Non-Public Information'.

GPT-4oClaude 3.5 Sonnet
0
0
237