Our review
Generates and validates regulatory reports for financial compliance requirements (MiFID II, Form 13F, etc.).
Strengths
- Automates complex report creation with built-in validation
- Supports multiple report types and regulators
- Displays a dashboard of deadlines and recent submissions
Limitations
- Requires prior setup of data sources and reference data
- Does not handle direct submission to regulators for all report types
- Validation is limited to schema and required field checks
Use this skill to generate periodic regulatory reports (quarterly, annual, daily) and validate them for compliance before submission.
Do not use for ad hoc non-standardized reports or if you lack access to the necessary transaction/position data.
Security analysis
SafeThis skill does not execute any commands, access the network, or perform destructive operations. It only describes formatting and validation steps for regulatory reports, with no risk of data exfiltration or system compromise.
No concerns found
Examples
/reporting 13f/reporting --schedule/reporting --validate 13fname: reporting description: Generate regulatory reports (MiFID II, Form 13F, etc.) argument-hint: "[13f|mifid|car|--schedule|--validate]"
Regulatory Reporting
Generate and validate regulatory reports for compliance requirements.
Usage
/reporting- Show reporting schedule and status/reporting 13f- Generate Form 13F (SEC)/reporting mifid- Generate MiFID II transaction reports/reporting car- Generate Consolidated Audit Report/reporting --schedule- View reporting calendar/reporting --validate 13f- Validate report before submission
Report Types
| Report | Regulator | Frequency | Deadline | |--------|-----------|-----------|----------| | Form 13F | SEC | Quarterly | 45 days after quarter | | Form ADV | SEC | Annual | 90 days after fiscal year | | MiFID II | ESMA | Daily | T+1 | | CAT | FINRA | Daily | 8:00 AM ET | | Form PF | SEC | Quarterly | 60 days after quarter | | EMIR | ESMA | Daily | T+1 |
Instructions
When this skill is invoked:
-
Parse arguments:
- No args: Show reporting dashboard
- Report type: Generate specific report
--schedule: Show upcoming deadlines--validate: Validate without submitting--submit: Submit to regulator (if supported)
-
Display reporting dashboard:
Regulatory Reporting Dashboard ═══════════════════════════════════════════════════════════ UPCOMING DEADLINES ───────────────────────────────────────────────────────── Report Period Deadline Status ───────────────────────────────────────────────────────── MiFID II 2024-01-19 2024-01-20 ✓ Submitted CAT 2024-01-19 2024-01-20 ⏳ Generating Form 13F Q4 2023 2024-02-14 📋 Due in 25 days Form ADV FY 2023 2024-03-31 📋 Due in 70 days RECENT SUBMISSIONS ───────────────────────────────────────────────────────── 2024-01-19 MiFID II ✓ Accepted 1,247 transactions 2024-01-18 MiFID II ✓ Accepted 1,089 transactions 2024-01-18 CAT ✓ Accepted 2,341 events -
For Form 13F:
Form 13F Generation - Q4 2023 ═══════════════════════════════════════════════════════════ Reporting threshold: $100M AUM ✓ ($1.2B) Holdings Summary: ───────────────────────────────────────────────────────── Total positions: 145 Total value: $1,247,350,000 Reportable securities: 142 Top Holdings: ───────────────────────────────────────────────────────── CUSIP Name Shares Value 037833100 Apple Inc 50,000 $9,625,000 594918104 Microsoft Corp 35,000 $13,160,000 02079K107 Alphabet Inc 20,000 $2,800,000 Validation: ✓ All CUSIPs valid Output: reports/13f_Q4_2023.xml -
For MiFID II:
- Generate ARM-compliant transaction reports
- Include all required fields (65+ fields)
- Validate LEI codes
- Check instrument identifiers
-
For
--validate:- Run schema validation
- Check required fields
- Validate reference data
- Simulate submission
-
Report generation steps:
- Extract relevant transactions/positions
- Enrich with reference data
- Format per regulatory schema
- Validate completeness
- Generate submission file
- Log for audit trail
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