Sample Compliance Calendar
Compliance personnel should generally maintain a compliance calendar of activities conducted, as well as reporting and other deadlines that occur, throughout the year that are critical to the administration of a firm's compliance program. This document is a basic sample compliance calendar identifying key deadlines and recommended activities month-by-month.
Registered investment firms are required to retain certain email records related to their business. This document summarizes key elements of an effective email retention effort.
As a registered adviser, firms are subject to SEC examinations at any time. In addition, registered and exempt firms may be investigated by, or receive voluntary requests or subpoenas for information from, SEC enforcement staff. This document provides suggestions for things firms should consider in preparing for a call from the SEC.
We invite you to contact us at 972.646.1849 for other compliance resources, or to discuss your needs in preparing or managing a regulatory examination and request a copy of our full CORE Exam Playbook.