Compliance Deadlines

On Going:

  • Maintain Transaction and Check eBlotter.
  • Overnight checks for new business.
  • Overnight additional deposit checks to directly to vendor unless required by Firm policy to come through Home Office.
  • Log and maintain copies of correspondence in correspondence file.
  • Send correspondence and correspondence log to OSJ manager immediately following month-end.
  • Review commission statements for accuracy.
  • Review Voya Advisor News for updated firm and industry information.
  • Review client statements as received.


  • Complete the Annual Business Questionnaire
  • Complete the Firm Element CE Requirement.
  • Complete the Annual Compliance Meeting.
  • Complete annual licensing and registration renewals.
  • Conduct annual client meetings and complete the Annual Client Contact form for all managed account clients (IARs only).
  • Respond in cMax to annual inspection completed by your OSJ and the ECI audit, if applicable.  

As Needed:

  • Submit all advertising and sales literature material with an Advertising Submittal form to your OSJ manager.
  • Submit an OBA form to your OSJ manager and receive acknowledgement from Voya Financial Advisors prior to engaging in Outside Business Activity or for updates to existing OBAs.
  • Submit a PST form to your OSJ manger and receive acknowledgement from Voya Financial Advisors prior to engaging in Private Securities Transactions.
  • Immediately report any written or verbal client complaints to your OSJ manger and the Compliance department.
  • Complete Regulatory CE as required (every three years).
  • Enter all sponsor gifts and entertainment received from produce sponsors on sponsor gift/entertainment log.
  • Enter all gifts to and received from clients and entertainment given to clients on the client gift/entertainment log.
  • Before providing gifts to public officials (refer to Section for public officials definition) contributions to a charity or nonprofit that is made at the request of a public official, send a request and obtain written approval from the Compliance department.
  • Obtain written approval from Home Office prior to accepting / receiving any compensation, payment, or reimbursement from product sponsors.
  • Notify your OSJ manager when a non-registered associated person leaves or affiliates with your office.
  • Keep up-to-date with changes in industry and internal polices through compliance alerts.