CL

Attestations

Attestation Requirements
View and complete your compliance attestations
Attestation
Category
Due Date
Status
Actions
Annual Policy Review
Review and attest to annual compliance policies
SEC
2025-05-15
Completed
Code of Ethics Certification
Annual certification of adherence to code of ethics
FINRA
2025-05-20
Pending
Risk Assessment Update
Update risk assessment documentation
Internal
2025-06-01
Pending
Cybersecurity Controls Review
Review and test cybersecurity controls
SEC
2025-06-15
Completed
Anti-Money Laundering Certification
Certify AML program compliance
FinCEN
2025-06-30
Overdue
Business Continuity Plan Test
Test and document BCP effectiveness
SEC
2025-07-10
Pending
Form ADV Update
Annual update to Form ADV
SEC
2025-07-15
Completed
Privacy Policy Notice
Distribute privacy policy to clients
Regulation S-P
2025-07-30
Pending
Advertising Materials Review
Review marketing materials for compliance
FINRA
2025-08-15
Completed
Vendor Due Diligence
Conduct due diligence on service providers
Internal
2025-08-30
Completed