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Adviser fiduciary duty and ERISA rules v1.0.0

Use this resource to determine the fiduciary obligations of an adviser or plan fiduciary

New

  • 334 downloads
  • 130 likes
  • 191 saves

Free

Install with the CLI

In a terminal, from the folder you want:

npx --yes palatekit@latest install fiduciary-duty-review

With no option, the skill goes to ~/.agents/skills/; add --agent claude-code (or codex, cursor…) to target an agent.

First time: connect the CLI with

npx --yes palatekit@latest login

The agent checks whether the fiduciary standard applies to an adviser, details the duties of care and loyalty, then reviews ERISA obligations and the PTE 2020-02 exemption for plan rollovers. It also covers state rules and dual-registrant situations. The regulatory status is dated June 2026.

Mostly picked by

Updated November 2, 2026

Card for the “Adviser fiduciary duty and ERISA rules” skill

Details

Works in
Install guides
Generates with
Your agent's model
Licence
MIT

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What you get

  • SKILL.md: Advisers Act Section 206, the SEC's 2019 interpretation and ERISA
  • SKILL.md: PTE 2020-02, state rules and how they differ from Reg BI

Good fit for

  • You advise a company retirement plan and need to know whether you are a fiduciary
  • A client asks whether you act in their interest during a rollover

Not for

    Tags

    • fiduciary
    • ERISA
    • adviser
    • loyalty

    About

    You say

    “Are we a fiduciary when we recommend a rollover from a 401(k) into a managed account?”

    Card for the “Adviser fiduciary duty and ERISA rules” skill

    Skill published by joellewis under the MIT license, delivered in its original version.

    Show more

    How to use it

    1. Install the skill in your agent's skills folder
    2. Ask your agent to determine the fiduciary obligations of an adviser or plan fiduciary
    3. Review and adjust the result

    Content preview

    Files

    • LICENSE1 KB
    • NOTICE-PALATEKIT.md0.5 KB
    • SKILL.md14.6 KB

    Origin and licence

    Listed unmodified

    Author
    joellewis
    Source
    github.com/joellewis/finance_skills/tree/5c498eacf7057e31238c4c5a8012a1afe9ec7c8a/plugins/compliance/skills/fiduciary-standards
    Licence
    MIT

    Notice

    « fiduciary-standards » (joellewis, MIT) livré dans sa version d'origine : fiche en français et en anglais par PalateKit.

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