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compliance_check

Read-only

Perform a compliance health check for a licensed corporation. Input company profile, get a compliance risk assessment covering FRR capital, RO configuration, MIC roles, annual obligations, and regulatory focus areas.

Input Schema

TableJSON Schema
NameRequiredDescriptionDefault
aumNoAssets under management, e.g. '500M HKD'
num_rosNoNumber of Responsible Officers
has_vatpNoWhether the firm deals with virtual assets
num_staffNoTotal number of staff
license_typesYesLicense types held, e.g. ['Type 1', 'Type 9']
business_areasNoBusiness areas, e.g. ['securities dealing', 'asset management']

TDQS

A4/5.0
Behavior4/5

Does the description disclose side effects, auth requirements, rate limits, or destructive behavior?

Annotations already include readOnlyHint: true, so the safety profile is known. The description adds value by detailing what behavioral coverage the assessment includes (FRR capital, RO configuration, MIC roles, etc.), giving the agent a clearer picture of the tool's output focus.

Agents need to know what a tool does to the world before calling it. Descriptions should go beyond structured annotations to explain consequences.

Conciseness5/5

Is the description appropriately sized, front-loaded, and free of redundancy?

The description is two sentences, front-loaded with the verb and resource, and every clause adds useful information (inputs and coverage areas). There is no wasted verbiage.

Shorter descriptions cost fewer tokens and are easier for agents to parse. Every sentence should earn its place.

Completeness4/5

Given the tool's complexity, does the description cover enough for an agent to succeed on first attempt?

With no output schema, the description provides a useful summary of the assessment's content areas, which helps set expectations. Parameters are fully documented in the schema, so the description adequately complements the structured data for this moderate-complexity tool.

Complex tools with many parameters or behaviors need more documentation. Simple tools need less. This dimension scales expectations accordingly.

Parameters3/5

Does the description clarify parameter syntax, constraints, interactions, or defaults beyond what the schema provides?

Schema description coverage is 100%, so the baseline is 3. The description only says 'Input company profile' without adding any new parameter-specific meaning beyond what the schema already provides.

Input schemas describe structure but not intent. Descriptions should explain non-obvious parameter relationships and valid value ranges.

Purpose5/5

Does the description clearly state what the tool does and how it differs from similar tools?

The description uses a specific verb ('Perform a compliance health check') and resource ('licensed corporation'), and enumerates distinct coverage areas (FRR capital, RO configuration, MIC roles, annual obligations, regulatory focus areas). This clearly differentiates it from sibling tools like risk_assessment or compliance_score.

Agents choose between tools based on descriptions. A clear purpose with a specific verb and resource helps agents select the right tool.

Usage Guidelines3/5

Does the description explain when to use this tool, when not to, or what alternatives exist?

The description tells the user to input a company profile and receive a risk assessment, but does not explicitly state when to choose this tool over alternatives (e.g., compliance_score, risk_assessment) or provide exclusions. Context is implied rather than explicit.

Agents often have multiple tools that could apply. Explicit usage guidance like "use X instead of Y when Z" prevents misuse.

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TDQS

A3.9/5.0
Disambiguation4/5

Most tools have clearly distinct purposes: querying regulations, searching enforcement, checking compliance health, assessing risk, getting SOPs, etc. However, checklist_lookup and query_regulation overlap somewhat in general regulatory questions, and compliance_check vs compliance_score could be confused, though descriptions help.

Naming Consistency3/5

Tool names are all lowercase with underscores, but the pattern is inconsistent: some start with verbs (get_license_guide, query_regulation, search_enforcement), while others are noun-led (compliance_check, checklist_lookup, risk_assessment). This mixed convention reduces predictability.

Tool Count5/5

10 tools is well-scoped for an SFC compliance assistant, covering a range of tasks from regulation lookup to risk assessment and enforcement search without being excessive. Each tool earns its place.

Completeness4/5

The tool surface covers the core domain lifecycle: regulatory knowledge, compliance checking, risk assessment, enforcement research, SOP guidance, license info, and updates. Minor gaps like direct form submission or detailed compliance item management exist, but the set is near complete for an advisory/analysis tool.