Regulatory Updates & Compliance Project Template

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Ensure your financial planning operations remain compliant with the latest regulatory changes. This template leverages the Eisenhower method and Priority Matrix to help you stay updated and prioritize compliance tasks efficiently.

With detailed tasks such as monitoring regulatory changes, updating compliance manuals, and conducting training sessions, this template is designed to keep your organization in line with industry regulations.

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Regulatory Updates & Compliance Project for Priority Matrix

Regulatory Updates & Compliance Project in Priority Matrix

Stay compliant with regulatory changes using the Eisenhower method and Priority Matrix.

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Proposed Tasks

Urgent and Important (Regulatory Updates)

  • Task 1: Monitor Regulatory Changes due in 2 weeks
    ☐ Identify reliable sources of regulatory updates ☐ Set up alerts for new updates ☐ Review updates and assess impact on current operations
  • Task 4: Implement New Procedures due in 6 weeks
    ☐ Identify necessary procedural changes ☐ Develop new procedures ☐ Implement new procedures
  • Task 7: Conduct Internal Audit due in 3 months
    ☐ Prepare for audit ☐ Conduct audit ☐ Review audit findings
  • Task 8: Prepare for External Audit due in 4 months
    ☐ Prepare necessary documentation ☐ Review procedures and policies ☐ Coordinate with external auditors

Important, Not Urgent (Compliance Tasks)

  • Task 2: Update Compliance Manuals due in 3 weeks
    ☐ Review current compliance manuals ☐ Update manuals with recent regulatory changes ☐ Distribute updated manuals to relevant staff
  • Task 3: Conduct Compliance Training due in 1 month
    ☐ Identify training needs ☐ Develop training materials ☐ Conduct training sessions
  • Task 6: Update Risk Assessment due in 10 weeks
    ☐ Review current risk assessment ☐ Update risk assessment with recent changes ☐ Distribute updated risk assessment to relevant staff
  • Task 10: Conduct Client Due Diligence due in 5.5 months
    ☐ Review client information ☐ Conduct risk assessment ☐ Update client files

Urgent, Not Important (Internal Policies)

  • Task 5: Review Internal Policies due in 2 months
    ☐ Review current internal policies ☐ Identify areas for improvement ☐ Implement changes
  • Task 9: Review Compliance Software due in 5 months
    ☐ Assess current software ☐ Identify potential improvements ☐ Implement changes