Compliance history and diligence file
The regulatory record a buyer's counsel will request.
Read-only: assemble my firm's regulatory record from two directions, my internal compliance or GRC systems for what they actually hold (policy versions, control testing, vendor diligence, open findings and remediation status) and the public regulatory and firm-intelligence sources for registration history, ADV disclosures and complaints. Show them side by side and flag anything disclosed publicly with no internal record, or internally tracked that the public record does not reflect. List exam findings and correspondence separately as 'to gather offline' unless a connected system genuinely holds them. Cite each source and mark anything unverified as 'to confirm'. Do not file, submit or amend anything.
Guardrail · Read-only. The internal half of this record usually lives outside any connected tool, and filings are amended through official channels only.
