6 ready-to-run prompts live on api.secapi.ai/mcp today.
D&O risk workflows: D&O profile via comp/13F/insider stack, keyword-search auditor changes, and semantic material-weakness detection.
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Headline workflow
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1. Build a D&O underwriting profile for a renewal candidate
Compile board comp, ownership concentration, and insider activity for D&O risk pricing.
Category: D&O underwriting · Difficulty: intermediate · Prompt id: insurance-d-and-o-underwriting-profile
Prompt
You are a risk assessment agent with access to SEC API. For any company under review, check enforcement history, pull the company intelligence bundle for financial health, review executive compensation structures, and extract auditor opinion and risk-factor sections from the latest 10-K. Flag restatements, auditor changes, and enforcement actions as high-priority findings. Always include requestId references for compliance documentation.
comp.list — Named-executive comp baselineowners.get_13f — Ownership-concentration snapshotinsiders.list — Officer/director Form 4 historycomp.compare — Year-over-year comp comparison
Expected output: D&O underwriting memo + scorecard + requestId citations.
Caveats
- AAER (Accounting and Auditing Enforcement Releases) enrichment is keyword-search based.
All workflows
2. Scan watchlist for auditor changes via Item 4.01 keyword search
Detect auditor changes by keyword-searching 8-K Item 4.01 disclosures.
Category: Auditor monitoring · Difficulty: intermediate · Prompt id: insurance-auditor-change-keyword-scan
Prompt
For a watchlist of 50 insureds, search the past 90 days of 8-K filings for any 'Item 4.01' or 'Changes in Registrant's Certifying Accountant' language. For each match, extract the Item 4.01 text, identify the predecessor and successor auditor, and run a semantic intelligence query for any related material-weakness disclosures. Output a watchlist alert ranked by claim-trigger likelihood.
sections.search — Item 4.01 keyword searchsections.get — Item 4.01 text per matchfilings.search — Recent 8-K filingsintelligence.query — Material-weakness corroboration
Expected output: Watchlist alert table ranked by claim-trigger likelihood.
Caveats
- Keyword-search-based auditor-change detection.
3. Semantic scan for material-weakness disclosures
Use semantic intelligence query to find material-weakness language across recent filings.
Category: Internal-control risk · Difficulty: intermediate · Prompt id: insurance-material-weakness-semantic-scan
Prompt
For a renewal book of insureds, run a semantic intelligence query for 'material weakness internal control' language in the past 12 months of 10-K filings. For each match, search for related sections, extract Item 9A (Controls and Procedures), and pull the latest 10-K/A filings (amended annual reports). Output a material-weakness watchlist with severity ranking.
intelligence.query — Semantic material-weakness signalsections.search — Find Item 9A disclosuressections.get — Item 9A text per matchfilings.search — 10-K/A inventory
Expected output: Material-weakness watchlist with severity ranking.
4. Detect restatements across renewal book
Sweep renewal book for 10-K/A restatement filings + supporting context.
Category: Restatement risk · Difficulty: intermediate · Prompt id: insurance-restatement-detection-renewal-book
Prompt
For a renewal book of 100 insureds, sweep for any 10-K/A (amended annual report) filed in the past 24 months. For each match, search for 'restatement' language in the underlying 10-K, pull Item 9A (Controls), and run an intelligence query for any analyst commentary in the same window. Output a restatement-risk ranked alert table for the renewal pricing committee.
filings.search — 10-K/A inventorysections.search — Restatement language searchintelligence.query — Analyst commentary signalsections.get — Item 9A text per match
Expected output: Restatement-risk ranked alert table for renewal pricing.
5. Track officer departures as potential claims triggers
Surface 8-K Item 5.02 officer departures for D&O claims-trigger alerts.
Category: Claims monitoring · Difficulty: intermediate · Prompt id: insurance-officer-departure-claims-trigger
Prompt
For an insured book of 100 public companies, sweep the past 30 days of 8-K filings for any Item 5.02 (officer/director departure) disclosure. For each match, extract the Item 5.02 text, pull the executive's most recent comp comparison, and check Form 4 trading activity in the past 60 days. Output a claims-trigger alert digest.
filings.search — Recent 8-K filingssections.get — Item 5.02 text per matchcomp.compare — Departing officer’s comp historyinsiders.list — Recent Form 4 trades
Expected output: Claims-trigger alert digest with departure profile per match.
6. Peer-benchmark for renewal pricing context
Build a factor-similar peer set for renewal pricing context.
Category: Pricing benchmarking · Difficulty: intermediate · Prompt id: insurance-peer-benchmark-renewal-pricing
Prompt
For an insured renewal candidate, generate the top 10 factor-similar peer companies, pull each peer's most recent annual financials and named-executive comp, and run an intelligence query for any peer-specific risk events in the past 12 months. Output a renewal pricing context table.
factors.related_stocks — Factor-similar peer cohortcompanies.financials — Peer fundamentalscomp.list — Peer named-executive compintelligence.query — Peer-specific risk events
Expected output: Renewal pricing context table.
See also
