Every filing on time. Every review evidenced. Every date defensible.
In financial services a late filing can mean a fine, a remediation plan and a regulator watching you closely. ExpiryEdge keeps every filing, registration renewal, AML/KYC review and policy attestation in one register. The owner gets reminders at 90, 60, 30 and 7 days. Each step is time-stamped, so you can hand the trail to an examiner.
Quick answer
Regulatory deadline tracking means writing down every filing, registration, review and attestation your firm owes. Each one gets a named owner and a set of reminders that start early. Finance teams use it for SEC and FINRA filings, broker-dealer and adviser registrations, AML/KYC review cycles, audit windows and policy attestations. A time-stamped record of each step is there for examiners and internal audit.
The obligation calendar outgrows the spreadsheet
Three failure modes turn a compliance calendar into examination risk.
Dozens of cadences, one team
Periodic filings, event-driven filings, registration renewals, AML reviews and audit windows all keep their own clock. No single person can hold all of them in their head.
Calendars don’t chase, spreadsheets don’t escalate
A dismissed invite or an unopened tab isn’t a control. If nobody acts as a date gets close, nothing flags it until it’s already late.
No defensible trail for the examiner
Saying "we filed on time" isn’t evidence. Without a time-stamped record of who did each step, you spend the exam rebuilding history from old emails.
One register, accountable owners, defensible evidence
A single obligation register
Every filing, registration, review and attestation sits in one place. Search it, or filter by entity, owner or due date.
An accountable owner per item
Each item goes to one named person. If they don’t act in time, it goes up to a manager or the CCO.
Staged reminders, not single-shot
Alerts at 90, 60, 30 and 7 days, by email, SMS, WhatsApp or Teams, leave time to prepare a filing properly.
Examiner-ready evidence
Each reminder, completion and sign-off is time-stamped. Export the trail to CSV, PDF or XLSX for an exam or for internal audit.
What it looks like day to day
Know your filing posture at a glance
A live gauge shows how much of the register is on track, and the at-risk items sit at the top. You walk into the committee meeting knowing what’s coming up with nobody working on it.
On-track percentage across the register
At-risk obligations surfaced first
Roll up by entity, desk or owner
Work the list, not the inbox
Each record shows its owner, next due date and status. Filter to "due in 30 days" or "action needed" and work down the list. You won’t be chasing dates across spreadsheets and email threads.
Status: valid, expiring, expired
Filter by entity, registration or owner
Recurring items regenerate on completion
Reminders that reach the owner, then escalate
A reminder nobody reads isn’t a control. ExpiryEdge reminds the owner in stages, and if the date gets close with nothing done, it escalates.
From shared spreadsheet to standing control
Anything with a date, whether it repeats or happens once. Think SEC and FINRA filings, state and federal registration renewals, AML/KYC review cycles and conduct or AML training. Professional licences, CE credits, insurance renewals, audit windows and client mandate dates fit too. You set the item, how often it repeats and who owns it. ExpiryEdge sends the reminders.
You choose. Most firms set several, for example 90, 60, 30 and 7 days out, so there’s time to prepare the filing instead of finding it on the due date. Reminders go to the owner. If the date gets close and nothing has happened, a manager or the CCO hears about it.
Yes. Each item records its owner, when reminders went out, when it was done and who signed it off. All of it is time-stamped and exports to CSV, PDF or XLSX. "We did it on time" becomes something an examiner or internal auditor can actually test.
Yes. Each item has one owner, and reminders go to that person, not a shared inbox. In most finance teams, filings sit with one desk and AML reviews with another, while insurance belongs to someone else again. You can set a separate escalation path for each item.
Yes. Tag each record with its entity, jurisdiction, desk and type. Then filter however you need, say every registration renewal due this quarter for one entity. When you complete a recurring item, ExpiryEdge sets the next due date for you.
No. It works for a small adviser with a handful of registrations, and for a large compliance team with hundreds of items across several entities. Start with the deadlines that would hurt most if missed, and add the rest as you go.
Give every filing an owner, a date and a paper trail
Free to try. No credit card required.