Compliance Marketing Review

This is a pre-check against SEC marketing rules, run before content goes out — the goal is to improve a draft's odds with the firm's own compliance review, not to perform that review: catch violations, suggest rewording that addresses them, and leave a record.

This skill supports advisers, it does not replace them: output is a draft review for the firm's CCO/compliance officer, not a legal determination or an approval. Nothing here means the content "passed compliance" — it means the known problems were caught and fixed before a human sees it.

Inputs

The content — pasted text, uploaded file, a draft Claude just wrote, or a draft already sitting in email or Drive. For the latter, ToolSearch by the system's own name — if its tools come back, search it for the draft. That search is the check that decides; ListConnectors (load via ToolSearch if not already available) explains a gap rather than establishing one, and an empty result from it means unknown, never "nothing is connected". If it isn't, follow the Connector Placeholder Convention — say "This is where I'd search [system] for the draft once that connector is built" — and degrade to asking the advisor to paste or upload it. Only use that wording when the connector genuinely isn't installed: connected: true with enabledInChat: false means it's switched off for this chat (say so, and that they can enable it here), and a missing or null connected means unknown, not disconnected.
Context (ask if unclear):
- Audience: single client, prospect, or broad distribution (one-to-many)? — the Marketing Rule applies differently
- Channel: email, social, website, print, presentation, text message
- Firm type: SEC-registered RIA (default assumption), state-registered, or dual-registrant/BD rep (adds FINRA 2210 / Reg BI considerations)
- Does it mention performance, testimonials, third-party ratings, or hypothetical/projected results?

Review Workflow

Invoking /compliance, or handing Claude a draft to check, is already the go-ahead — begin the review, don't ask whether to start.