Whether you've signed up for Complect directly or through one of our great compliance consulting partners, you've been provided a compliance calendar with handy reminders. ⏰

These reminders are helpful for what we know will happen, however, there are also a few regulatory requirements that are "triggered" by events we don't know unless you tell us! So, this is a gentle reminder to maximize Complect and/or your consultant's efficacy by using our tool properly and adding all employees subject to your compliance program as a user.

When you do, we will now be able to automatically generate "trigger" reminders to collect their initial holdings report, amend (or create) U4, and/or submit their U5 filings based on their role at your firm and when they're fired or fired. As always, these automatically generated tasks are modifiable except due dates can only be moved up not later, given those are set by regulatory requirements.

We look forward to pushing out more "trigger" based task reminders for you as we continue to attempt to automate as much of your compliance program as possible!