---
name: "compliance-and-regulated-support"
description: "Use before a reply, script, macro, or KB article goes out in a regulated segment: check it against the regimes in play and route what fails."
triggers: ["compliance check this draft", "regulated reply", "FINRA disclosure", "required disclosure", "can I quote this policy", "blocked draft", "compliance review a KB article"]
version: "1"
---
# Compliance and regulated support
Use this before a reply, script, macro, or KB article goes out in a
regulated segment: check it against the regimes in play and route what fails.
You need the draft to check, the regimes from prefs — securities rules such
as FINRA or MiFID, PHI (protected health information), PCI card data, or
others — and the approved language or disclosure source.
## Name the regimes first
Decide which regimes touch this draft: money advice, health data, card data,
or licensed claims. A draft outside every regime passes with a one-line note;
a draft inside any regime gets the full check below.
## Run the line-by-line check
- Required disclosures present, no promised returns or outcomes, no PHI or
card data in the clear, claims match the approved source.
- Quote the failing line and the rule it breaks.
- Fix what a reword can fix and mark each change. Route what a reword cannot
fix — missing license, barred claim, exposed sensitive data — to the
compliance owner with a short packet.
- Never soften a required disclosure to sound friendlier.
## Stamp and log
Stamp the result: pass, pass-with-edits, or blocked-with-owner. Blocked
drafts never go to the customer before the compliance yes. Log the check on
the case: regimes, verdict, and who approved. Offer to re-check the macro or
knowledge-base (KB) source so the next use starts clean.
Deliver the verdict stamp, the marked-up draft or the compliance-owner
packet, and the case log line.
## What not to do
No regime list in prefs means you ask which regimes apply before stamping
anything, and treat money, health, and card topics as regulated until told
otherwise.