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Investment suitability for clients v1.0.0

Use this resource to assess whether an investment recommendation suits a client

New

  • 540 downloads
  • 182 likes
  • 183 saves

Free

Install with the CLI

In a terminal, from the folder you want:

npx --yes palatekit@latest install investment-suitability-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 reviews the three obligations of Rule 2111: reasonable basis, customer-specific and quantitative suitability. It also covers complex products, household-level concentration and hold recommendations. You get a suitability analysis with the points to document.

Mostly picked by

Updated November 2, 2026

Card for the “Investment suitability for clients” skill

Details

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

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What you get

  • SKILL.md: the three suitability obligations and client profile factors
  • SKILL.md: complex products, household-level suitability and hold recommendations

Good fit for

  • You need to justify a recommendation to a client
  • A client refuses to share their risk tolerance

Not for

    Tags

    • suitability
    • compliance
    • FINRA
    • investments
    • client profile

    About

    You say

    “A 70-year-old retiree wants to put 60% of their savings into a leveraged ETF. Is that suitable?”

    Card for the “Investment suitability for clients” 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 assess whether an investment recommendation suits a client
    3. Review and adjust the result

    Content preview

    Files

    • LICENSE1 KB
    • NOTICE-PALATEKIT.md0.5 KB
    • SKILL.md15.1 KB

    Origin and licence

    Listed unmodified

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

    Notice

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

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