Use a Compliance Calendar to track important trigger dates
FrontLine Compliance
Consider a well-thought-out Compliance Calendar to stay compliance ready and prepared for the SEC. There are new rules and regulations for investment advisers on the horizon, with more SEC proposals ahead. Plus, there are the current regulatory requirements that should already be part of your compliance program. To keep up with all these numerous compliance items, a CCO and their compliance staff must be continuously organized and attentive. Utilizing a detailed matrix-style Compliance Calendar is…
