Compliance Health
You're fully compliant
All licensing and compliance requirements are active and current.
Next renewal: AML Certification (67 days)
LicenseActive
E&OActive
AMLActive
Annuity TrainingActive
PlatformActive
Compliance
Stay compliant, stay protected, stay ready to serve your clients.
Compliance action center
Stay ahead of expirations and requirements.
AML Certification Renewal
Renew your AML certification before it expires.
Due in 67 days
E&O Insurance Renewal
Your E&O policy renewal is coming up.
Due in 112 days
Resident License Renewal
Your California resident license is up for renewal.
Due in 189 days
Renewal timeline
Upcoming renewals, sorted by urgency.
AML Certification67 days
E&O Insurance112 days
California License189 days
Annuity Training247 days
Compliance documents
Your important compliance documents in one place.
Resident License
California · Expires Dec 15, 2026
E&O Insurance
Policy #EOP1234567 · Expires Sep 29, 2026
AML Certificate
Completed Mar 31, 2025 · Expires Aug 15, 2026
Best Interest
Completed Jan 23, 2025
Annuity Training
Completed Jan 23, 2025 · Expires Feb 11, 2027
CE Transcript
Last updated Feb 2, 2025 · Next due Jan 31, 2027
Compliance history
Recent compliance activity and updates.
DateEventDetailsStatus
Mar 31, 2025
AML Certification Completed
Anti-Money Laundering certification completed
Completed
Jan 23, 2025
Annuity Training Completed
Annuity Suitability Training
Completed
Jan 23, 2025
Best Interest Certificate Completed
Best Interest Standard training completed
Completed
Oct 16, 2024
E&O Insurance Updated
Policy renewed and updated
Completed