A compliance calendar is a concise schedule that outlines important dates and deadlines for regulatory and legal requirements that an organization must adhere to. It helps businesses stay organized and on track with their compliance obligations, avoiding penalties and legal issues.
MONTHLY TASK INCLUDE
We offer comprehensive support for your firm's monthly compliance tasks. Our experts create and manage a customized compliance calendar, ensuring timely and efficient completion of regulatory requirements. With our services, your Chief Compliance Officer (CCO) can remain confident that their firm is meeting all necessary obligations effectively.
Questions and conversations that may arise based on provided calendars are encouraged, and never avoided. This ongoing support, consultation, and navigation of issues separates our compliance calendars from those of opposing firms which see their job as finished once the calendar is provided.
Completing 314(a) and OFAC reviews relating to anti-money laundering requirements, tracking employee deadlines associated with completing CE, licensing exams, U-4, and U-5 filings, providing monthly regulatory updates, maintaining client restricted and conflicts lists, employee trade monitoring, reviewing electronic communications for potential escalations.