Use a Compliance Calendar to track important trigger dates

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 an excellent way to track and monitor key compliance triggers and filing dates. Creating a Compliance Calendar from the start and updating it annually does require a certain amount of time and effort to make sure all areas are covered. But once you have it completed, it will go a long way toward providing the reminders needed for those crucial compliance requirements and dates while helping avoid any potential miscues.

To learn more and help you get started, request our complimentary white paper, “Annual Compliance Calendar Sample Format for SEC Registered Investment Advisers”

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