Thursday, January 31, 2013

Check out your 2013 Compliance Calendar

Under the Calendar tab in your portal, you will see your 2013 Compliance Calendar. This resource lays out the most important compliance activities that will come up during the course of the year. To use the calendar, you may either view it through your portal or download it via the XML, iCal or HTML buttons at the right of the page.
For Outlook users, here is a link that shows you how to download into your Outlook calendar.
For users of other calendaring tools, please consult the Help section of your software by searching for topics like "Upload external calendar" or "Upload XML or iCal calendar."
This year we have categorized the items on the calendar under the following topics:
Regulatory Deadlines ("DEADLINE"): Regulatory deadlines that advisors must meet if the specific activity applies to their firm. (Some dates may be subject to change.)
Compliance Tasks ("TASKS"): Periodic compliance tasks that are required activities and/or industry best practices.
Compliance Testing ("TESTING"): Topic-based compliance testing procedures to ensure that your compliance program is accurate and effective. Periodic review of your compliance program is a regulatory requirement. These reminders align with the risk assessment tools found on the Compliance Testing page of your portal.
FINRA/IARD Events ("FINRA"): Announced dates from FINRA that may require action on your behalf or may impact your ability to access your public filings on their IARD/CRD systems. (Dates may be subject to change.)
Reminders ("REMINDERS"): Calender entries to remind you of certain upcoming deadlines.
We hope that you find this calendar useful as you move through a year in the life of compliance for your firm. If you have any questions about this or any other section of your portal, please let us know by submitting support request under your Compliance Activities tab. We'll be sure to get back to you with assistance.


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