Week 9

Your Week 9 Checklist: Compliance & Defensible Positions

1. Meet with your Compliance Officer

a. Work on your templates for ethics violation & DOL complaints

b. Answer 3 practice complaints with your compliance officer

c. What to do if someone tries to serve you a subpoena.

2. Connect with your Manager on how to answer interview questions from a regulator

3. Define a demand and what to do if a demand comes in

a. Define verbal demands

b. Written demands

c. Subpoena - what is it? How much power does it have?

4. Think like an internal State auditor

a. What processes do you need to set up?

b. Trello?

c. Phone log?

d. Daily calendar?

5. Weekly posts in WP on compliance matters

a. Build out your defensible position and have 15-20 posts on your Trello board ready to copy/paste into FB/emails

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