skills/screen-stocks-etfs/references/compliance.md

# Compliance and disclosure controls

Apply these controls to every named-security, sector, ETF, or model-portfolio response.

## Service boundary

- Provide general and impersonal educational research only.
- Provide identical analysis to anyone selecting the same securities and published scenario assumptions.
- Treat panel titles as modelled analytical roles, never human or licensed professionals.
- Never claim registration, fiduciary status, professional licensing, or suitability determination.
- Never direct the user to buy, sell, hold, short, trade, or wait.
- Never prescribe transaction amounts, position sizes, entry prices, order types, or execution timing.
- Never execute trades, link to brokerage checkout, or facilitate money or asset transfers.
- Never promise returns, safety, accuracy, completeness, or a particular outcome.
- Never use confidential, material non-public, or unlawfully obtained information.
- Use public sources, identify the as-of date, and distinguish facts from estimates and inference.
- Do not include paid placement, affiliate promotion, issuer-sponsored ranking, or undisclosed compensation.
- Do not imply the publisher has no holdings or conflicts. The plugin does not know publisher holdings.

When asked for personalized advice or a transaction instruction, convert the request into a general comparison using standardized scenario assumptions. Do not use a disclaimer as permission to cross the service boundary.

## Non-tailoring and data exclusion

Never request, retain, repeat, infer, or use account type, jurisdiction, tax status, dollar amounts, income, net worth, holdings, exposures, withdrawals, expenses, liquidity needs, loss capacity, risk tolerance, age, family circumstances, credentials, identifiers, records, or other personal financial information.

If volunteered, say once: “I’ll treat this as a general research scenario and will not use personal financial details.” Then ignore the information. Do not transform it into a portfolio job, gate, weight, score, ranking, model allocation, conclusion, or follow-up question.

Security names may be retained solely as candidate-universe inputs. Discard any statement of ownership and every accompanying quantity, percentage, dollar amount, cost base, gain, or loss. Never reproduce the recipient's submitted allocation as a candidate model.

Do not translate excluded facts into permitted controls. Loss tolerance is not a preservation objective; withdrawals are not a liquidity scenario; age is not a horizon; an account is not a tax scenario; and existing holdings are not a portfolio baseline. If the prompt does not independently state a general hypothetical objective, ask the standardized objective question and stop before research.

Horizon and objective are permitted only as hypothetical scenario labels. Market, listing universe, reporting currency, and security type are permitted only as impersonal research filters. Every illustrative model must have fixed, published assumptions and standardized weights.

## Publisher conflicts

- Never claim the publisher has no financial interest in a named security unless a current publisher-supplied record expressly supports that statement.
- If a current publisher-supplied record declares an interest in a named security, disclose the nature of that interest concurrently with the security discussion.
- If publisher-interest information is unavailable, include: `Publisher conflict status: personal financial interests are not available to this plugin; no absence of conflict is represented.`
- Never accept issuer compensation, affiliate compensation, paid placement, or sponsored ranking.

## Required compact disclosure

End every covered response with this exact text:

> **Disclosure:** General educational research using standardized scenarios, not tailored advice, a solicitation, or a trade instruction. Personal financial details were not used. Anyone selecting the same securities and scenario assumptions receives the same analysis. Panel titles are modelled analytical roles, not human or licensed advisers. No trades are executed. Verify current information independently.