About this product

HONEST NOTES:

• This is an organizational aid, NOT legal or compliance advice, and it does not guarantee compliance with any regulation. Requirements change; confirm current obligations with your compliance counsel or consultant.
• Checklist items describe well-established public requirement areas at a "confirm this is documented" level — they are not definitive legal interpretations.
• Have your own legal counsel review the disclosure and memo templates before real-world use.
• All sample firms, people, pieces, and dates are fictional. No market data, sales claims, or compliance guarantees anywhere.

REQUIREMENTS: Excel, Google Sheets, or LibreOffice (free). PDF reader for the forms; Word or compatible for the DOCX templates.

What's included

• COMPLIANCE CALENDAR — 8 recurring obligations (annual review, Form ADV amendment, code-of-ethics acknowledgment, access-person reports, privacy notice, marketing refresh, books & records check, cybersecurity drill) with last-done dates, computed next-due dates, and DONE / DUE within 30 days / OVERDUE flags against your pinned review date.
• MARKETING REVIEW LOG — 6 sample pieces across all 5 advertisement types (general ad, testimonial, endorsement, hypothetical performance, third-party rating); APPROVED status requires substantiation on file AND disclosures present AND documented performance periods — a missing item can never show APPROVED.
• TESTIMONIAL REGISTER — 5 sample promoters (compensated and uncompensated) with agreement, disclosure-delivery, and oversight tracking; COMPLETE / INCOMPLETE flags.
• HYPOTHETICAL PERFORMANCE GATE — 4-condition readiness check per piece (policies adopted, audience-relevance criteria, assumptions + risks provided, substantiation retained); one NO holds the piece at NOT READY.
• ANNUAL REVIEW — 8 review areas with status, findings, remediation owners, and due dates; dashboard shows completion %.
• DASHBOARD — live counts: overdue items, flagged pieces, incomplete testimonials, not-ready pieces, annual-review completion.
• Fillable Marketing Review Checklist PDF (blank + filled fictional sample), Testimonial Disclosure template (DOCX), Annual Review Memo template (DOCX), Quick-Start Guide.

Key features

• Compliance calendar → 8 recurring obligations with computed next-due dates and DONE / DUE within 30 days / OVERDUE flags against your pinned review date (flag semantics proven in QA: OVERDUE ×2, DUE ≤30 ×3, DONE ×3 on the sample data)
• Approval that can't be faked → APPROVED requires substantiation on file AND disclosures present AND documented performance periods; QA variant tests flipped every input — every missing item yields FLAGS PRESENT
• Hypothetical performance gate → 4 conditions per piece; one NO holds it at NOT READY (proven in QA — every condition flip yields NOT READY)
• Testimonial register → agreement, disclosure-delivery, and oversight tracked per promoter, with COMPLETE / INCOMPLETE flags
• Annual review tracker → 8 areas with owners and due dates, completion % on the dashboard
• Live dashboard → overdue items, flagged pieces, incomplete testimonials, not-ready pieces, annual-review completion in one view
• QA-verified → 63/63 checks passed against an independent Python model + LibreOffice recalc, including 23 gate-bypass variant tests, 0 error cells