# Compliance Review Report Template

Use this template as a reference for the output format the compliance checker
skill generates. When staff run the skill, they'll get a report in this structure.

---

```
COMPLIANCE REVIEW REPORT
========================
Date: 2026-09-25
Reviewed by: [Employee Name]
Scope: Marketing deck — Q3 2026 Fund Performance Summary
Review type: Document

SUMMARY
-------
Overall assessment: FINDINGS IDENTIFIED
Items checked: 10
Findings: 2
Items needing follow-up: 1

FINDINGS
--------

Finding 1: Performance claims without required disclosures
  Category: Marketing compliance
  Severity: HIGH
  Rule reference: Rule 206(4)-1 (Marketing Rule)
  Description: Slide 4 contains gross performance figures without net
    performance shown with equal prominence.
  Current state: Gross returns displayed in 24pt; net returns in footnote (8pt).
  Recommendation: Display net performance at equal or greater prominence than
    gross. Add standardized performance disclosure per SEC guidance.
  Owner: CCO review required

Finding 2: AI-assisted content not flagged for review
  Category: AI as drafting tool
  Severity: MEDIUM
  Rule reference: AI Policy §A.2
  Description: Narrative summary on slide 6 was drafted using Claude but was
    not marked as AI-assisted in the review workflow.
  Current state: No AI-assistance flag in the document metadata or review trail.
  Recommendation: Add AI-assistance flag to document properties; ensure the
    marketing review checklist includes an "AI-assisted content" checkbox.
  Owner: Marketing reviewer

RISK MATRIX IMPACTS
-------------------
  Risk ID R-012: Marketing rule compliance — this finding confirms the risk
    is active; recommend upgrading Control Effectiveness from "Effective" to
    "Partially Effective" until the AI-assistance flag is in the workflow.

ITEMS COMPLIANT
---------------
  ✓ Approved tools only (Claude Enterprise used)
  ✓ PII handling (no client PII in deck)
  ✓ Data flow (document created in SharePoint, reviewed in-place)
  ✓ Fiduciary alignment (performance data from approved sources)
  ✓ Vendor compliance (Anthropic DD current)
  ✓ Training (reviewer completed AI policy training 2026-08-20)
  ✓ Transcription rules (not applicable)
  ✓ Books and records (draft retained in SharePoint version history)

NEXT STEPS
----------
1. CCO review of Finding 1 (HIGH severity) — target: before distribution
2. Update marketing review checklist to include AI-assistance checkbox
3. Next scheduled review: Q4 2026 marketing materials (December 2026)

---
This report was generated with AI assistance and requires CCO review
before any action is taken. AI is a drafting tool — all findings and
recommendations must be validated by the compliance officer.
```