Compliance calendar
Filings, reviews and attestations with their deadlines and their evidence.
Registration renewals, the annual updating amendment, the compliance programme review, the code of ethics attestations and the books and records requirements each have their own timing.
The annual review is a requirement in its own right and its documentation is a common examination finding when it is thin.
Where everything sits
How to work this page
Due within ninety days of fiscal year end. The material changes it discloses need to be identified through the year rather than remembered in month twelve.
Required, and its documentation is what an examiner reads. A one page memo saying it was done is a finding.
Access persons report holdings and transactions on defined cycles. Late collection is a common deficiency.
Books and records rules set retention and format, including how records must be preserved and how quickly produced.
On a phone
Every figure from the desktop appears here, stacked rather than reduced. Tables scroll inside themselves so the page never moves sideways, and figures keep their separators and their alignment at every width.
Questions people actually ask
The compliance manual, the annual review documentation, the code of ethics and personal trading records. All four are tracked here.
Generally five years with the first two in an easily accessible place, and longer for some categories. The period is recorded per record type.