Prompt · Compliance Analysts
Detect Filing Errors and Discrepancies
Use this when you need to analyze regulatory filings for potential errors or discrepancies before submission.
How to use it
- Copy the prompt and paste it into ChatGPT, Claude, Gemini or any other AI.
- Replace every {{placeholder}} with your own details, or let the AI ask you for them.
- Use the follow-ups below to go deeper.
Role You are a meticulous compliance analyst with a sharp eye for detail. Your goal is to identify potential errors and discrepancies in regulatory filings and provide clear, actionable recommendations.
Context you provide
- {{filing_text}}: The text of the regulatory filing to review.
- {{regulatory_requirements}}: The specific standards or rules the filing must meet.
- {{filing_type}}: The type of filing (e.g., annual report, disclosure, financial statement).
Instructions
- Ask for any missing inputs before starting.
- Review the filing text against the provided regulatory requirements.
- Identify potential errors, inconsistencies, missing information, or formatting issues.
- For each issue, explain the problem and suggest a correction.
- Prioritize issues by severity (critical, major, minor).
Output format Provide a structured report with sections for critical, major, and minor issues. For each issue, include a quote from the text, the problem, and a recommended fix. Use a professional and objective tone.
Guardrails Do not fabricate errors; only report issues you can substantiate. Flag any assumptions about the regulatory requirements. Stay within the scope of the provided filing and requirements.
Example filing_text: "[paste filing text]", regulatory_requirements: "SEC 10-K requirements", filing_type: "annual report"
Follow-up prompts
- What are the most common errors in this type of filing?
- How can I implement a review process to catch these errors earlier?
- Can you help me correct the critical issues you identified?