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--- name: annual-compliance-attestation-workflow description: Automated compliance verification engine for SEC Rule 206(4)-7 and FINRA Rule 3130 annual attestations in quantitative hedge funds. domain: regulatory-compliance subdomain: institutional-reporting tags: - compliance - sec-20647 - finra-3130 - regulatory - attestation brokers_frameworks: - generic version: "1.1.0" author: System license: MIT --- ## When to Use Use this skill to automate the year-end compliance checklist for a quantitative hedge fund or broker-dealer. It programmatically verifies that all mandatory regulatory obligations have been met before the Chief Executive Officer (CEO) and Chief Compliance Officer (CCO) can sign the final annual attestation. ## Prerequisites - Python 3.9+ - Audit logs of the CEO/CCO annual meeting. - Audit logs of quantitative code integrity reviews and trade surveillance testing. ## Workflow 1. **Collect Attestation Data**: Gather the dates of mandatory compliance reviews, including algorithmic code risk assessments, trade surveillance tests, and the formal CEO-CCO meeting. 2. **Evaluate SEC Rule 206(4)-7**: The engine verifies that the annual review of written policies was completed within the calendar year. 3. **Evaluate FINRA Rule 3130**: If the firm is a broker-dealer, the engine mandates that a formal CEO-CCO meeting occurred prior to the CEO signing the certification. 4. **Evaluate Quant-Specific Controls**: The engine specifically flags missing reviews of algorithmic trading code integrity and trade surveillance, which are high-priority SEC examination targets for quantitative funds. 5. **Issue Report**: Returns a compliance report detailing any missing obligations. ## Common Pitfalls - **Rubber-Stamping Rule 3130**: The CEO signing the FINRA 3130 certification without having the legally required meeting with the CCO in the preceding 12 months. - **Generic Manuals**: Using off-the-shelf compliance manuals that fail to explicitly require testing of algorithmic code integrity, exposing the firm during an SEC sweep. ## Verification Run `python scripts/test_annual_compliance_attestation_workflow.py` to confirm that missing CEO-CCO meetings or algorithmic risk reviews correctly block the final compliance attestation. ## Related Skills - `algorithmic-trading-firm-licensing-thresholds` - `kill-switch-and-drawdown-circuit-breakers`