Every filing on time. Every review evidenced. Every date defensible.
In financial services a late filing is not an admin slip — it is a fine, a remediation plan, and supervisory scrutiny. ExpiryEdge holds every regulatory filing, registration renewal, AML/KYC review and policy attestation in one register, fires reminders at 90/60/30/7 days to the accountable owner, and leaves a timestamped trail you can hand an examiner.
Quick answer
Regulatory deadline tracking in finance is the practice of recording every filing, registration, review and attestation a firm owes, assigning each an accountable owner, and automating staged reminders so nothing lapses. Teams use it for SEC and FINRA filings, broker-dealer and adviser registrations, AML/KYC review cycles, audit windows and policy attestations — with a timestamped evidence trail 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 and event-driven filings, registration renewals, AML reviews, training cycles and audit windows each run on their own schedule. No one person holds them all reliably.
Calendars don’t chase, spreadsheets don’t escalate
A dismissed invite or an unopened tab is not a control. When a date approaches unactioned, nothing flags it until it is late.
No defensible trail for the examiner
Saying "we filed on time" is not evidence. Without a timestamped record of who completed what and when, an examination becomes a reconstruction exercise.
One register, accountable owners, defensible evidence
A single obligation register
Every filing, registration, review and attestation in one searchable place — filtered by entity, owner, status and due date.
An accountable owner per item
Each obligation routes to one named person, with automatic escalation to a manager or the CCO if it is not actioned in time.
Staged reminders, not single-shot
Alerts at 90, 60, 30 and 7 days give time to prepare a filing properly — on email, SMS, WhatsApp or Teams.
Examiner-ready evidence
A timestamped trail of every reminder, completion and sign-off, exportable to CSV, PDF or XLSX for examinations and internal audit.
What it looks like day to day
Know your filing posture at a glance
A live gauge of how much of the obligation register is on track, with the at-risk items surfaced first. Walk into a committee meeting knowing exactly what is approaching unactioned.
On-track percentage across the register
At-risk obligations surfaced first
Roll up by entity, desk or owner
Work the list, not the inbox
Every record shows its owner, next due date and status. Filter to "due in 30 days" or "action needed" and clear the list — no chasing 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 no one sees is not a control. ExpiryEdge fires on a staged cadence to the owner and escalates if a date approaches unactioned.
From shared spreadsheet to standing control
What financial compliance deadlines can ExpiryEdge track?
Any recurring or one-off obligation with a date: SEC and FINRA filings, state and federal registration renewals, AML/KYC review cycles, conduct and AML training, professional licences and CE requirements, insurance renewals, audit windows, and client mandate or contract dates. You define the item, the interval and the owner; ExpiryEdge handles the reminders.
How far in advance are reminders sent?
Reminders are staged, not single-shot. Configure early warnings — for example 90, 60, 30 and 7 days out — so there is time to prepare a filing properly rather than discovering it on the due date. Reminders go to the owner and escalate to a manager or the CCO if the deadline approaches unactioned.
Does it keep an audit trail for examiners?
Yes. Every obligation records who it is assigned to, when reminders were sent, when it was completed and who signed off — all timestamped and exportable to CSV, PDF or XLSX. That turns "we managed it on time" into evidence an examiner or internal auditor can test.
Can different obligations be owned by different people?
Each item is assigned to one accountable owner, and reminders go to that person rather than a central inbox. This matters in finance teams where filings, registrations, AML reviews and insurance are handled by different individuals or desks, with escalation paths configured per item.
Can I track obligations across multiple entities?
Yes. Tag each record by entity, jurisdiction, desk and obligation type, then filter the register to any slice — for example all registration renewals due this quarter for a given entity. Recurring obligations regenerate their next due date automatically once completed.
Is ExpiryEdge only for large institutions?
No. The same approach works for a boutique adviser tracking a handful of registrations and an enterprise compliance team managing hundreds of obligations across entities. Start with the deadlines that carry the most risk and expand coverage over time.
Make every filing someone’s job — with a date and an evidence trail
Free to try. No credit card required.