Introducing our Compliance Task List, a comprehensive and functional spreadsheet designed specifically for Registered Investment Adviser (RIA) firms and their Chief Compliance Officers (CCOs). This tool offers a centralized view of all your compliance tasks, allowing you to track completion dates and ensure that all required tasks are fulfilled annually.
Key features include:
Ease of Use: The included instructions tab guides you through the process, making it user-friendly and easy to navigate.
Future-Proof: The spreadsheet can be duplicated for each subsequent year, keeping all your data in one place for easy access and review.
RegTech Integration: If your firm utilizes Regulatory Technology (RegTech), this list can be seamlessly integrated to set up tasks, ensuring no task is overlooked.
Customizable: As your firm grows and compliance tasks evolve, the list can be easily customized to suit your specific needs.
Invest in peace of mind with our Compliance Task List, knowing that your firm’s compliance is managed effectively and efficiently.