What’s on your compliance calendar? As a seasoned compliance professional, you’re well aware of the intricate dance between adhering to applicable regulatory frameworks while growing and evolving your firm to meet the demands of clients. Which means you likely have a calendar marked full of to-dos, filings, reminders, and deadlines. But, how can you be sure you are encapsulating your most critical compliance tasks?
This guide, designed specifically for compliance professionals like yourself, outlines some of the essential quarterly and annual compliance tasks that applicable firms should be undertaking to ensure adherence to FCA-authorised regulations.
This calendar serves as a starting point; however, it is crucial to stay informed about regulatory updates and any firm-specific compliance obligations which may occur throughout the year. We encourage you to consult with your compliance consultant, legal counsel, and relevant authorities for the most up-to-date information and guidance.