Compliance Dashboard

Compliance Overview

Welcome back, John. Here's your compliance status at a glance.

Pending Documents

12

3 overdue View all

Completed Tasks

24

This week View all

Alerts

5

2 critical View all

SLA Compliance

98%

Last month: 96% +2%

Regulatory Alerts

View All

ESMA Consultation Paper

2h ago

New guidelines on product governance requirements under MiFID II

MiFID II Priority

ČNB Circular Update

5h ago

Changes to reporting requirements for investment firms

Reporting

EU Directive Update

1d ago

New amendments to the Prospectus Regulation

Urgent

Recent Documents

View All

Investment Policy v3.2

Last updated by Sarah Johnson

Compliance Manual 2023

Pending review by Michael Brown

Q3 Transaction Report

Submitted to ČNB on 15/10/2023

My Tasks

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Review new ESMA guidelines

Due today

Analyze impact on suitability requirements

Regulatory

Approve Compliance Manual

Due in 2 days

Review changes in sections 4.2 and 5.1

Document

Investigate trade alert

Due in 3 days

Unusual trading pattern detected for client #45892

Surveillance

Compliance Calendar

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MiFIR Reporting Deadline

15 Nov 2023

Quarterly transaction reporting to ESMA

Annual Compliance Review

30 Dec 2023

Submit to Board of Directors

Suitability Rules Update

5 Jan 2024

Implement new ESMA guidelines

Case Status

SLA Compliance

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