Managing the Year-Round Demands of Compliance: 5 Tasks to Add to Your Calendar

Regulatory compliance has become a continuous cycle of obligations that demand coordination, prioritization, and precision. From maintaining policies and procedures to managing filings, marketing oversight, MNPI risk, and books and records requirements, the compliance calendar defines how programs operate in practice.

As regulatory expectations continue to intensify across core areas like disclosures, communications, and supervision, firms are being asked not just to complete tasks but to demonstrate that their programs are cohesive, consistent, and effective.

Join Charity Dembofsky, Sr. Comprehensive Compliance Consultant at Comply, and Alison Cooley, Sr. Director of Product Marketing at Comply, for a discussion session built around the real-world compliance calendar and what it takes to stay ahead of it.

During the session, we’ll cover:

• How to manage the annual compliance cycle without falling into reactive workflows

• Maintaining and updating policies, procedures, and supervisory frameworks

• Managing marketing and communications compliance under increased scrutiny

• Mitigating MNPI risk and insider trading exposure across the firm

• Strengthening books and records practices, including off-channel communications

• Turning compliance calendar tasks into a cohesive, defensible program

WATCH THE RECORDING