Keeps your Code of Ethics compliance organized, sends the reminders automatically, and prints your audit report in one click.
The Problem
SEC Rule 204A-1 requires every RIA to maintain a Code of Ethics — attestations, personal trading disclosures, documented reviews, the full audit trail.
Most firms manage this with whatever's at hand: a shared spreadsheet, email threads, calendar reminders. It works until an examiner asks for your records and the answer is “we have emails somewhere.”
What It Does
Collect annual and ad hoc Code of Ethics attestations from every access person. Each response is timestamped, logged, and tied to the specific version of the Code they attested to.
Right for you if
You're collecting attestations over email and storing them in a shared drive.
Access persons submit both holdings and transaction reports directly through the platform. No more email attachments, no manual data entry, no chasing people down for PDFs.
Right for you if
Your personal trading workflow is a combination of email requests and spreadsheet logging.
Scheduled reminders go out automatically before attestation and reporting deadlines. Nothing gets missed because someone forgot to send the email this quarter.
Right for you if
Your compliance calendar is held together by manual follow-up and calendar alerts.
Every action — submission, review, approval, exception — is logged with a timestamp and user record. When an examiner asks for documentation, you have a defensible audit trail, not a folder of emails.
Right for you if
You're not confident you could reconstruct your compliance history under examination pressure.
Package exactly what SEC examiners need in the format they expect. One export covers the attestation history, trading records, and exception log for the examination period.
Right for you if
Preparing for an exam means days of manually assembling records from multiple sources.
Who It's For
AttestTrack is not built for the $10B firm with a five-person compliance team. It's built for firms that are managing 204A-1 themselves — and want a system that actually tracks it.
Why This
I built AttestTrack. Before that, I spent those thirty years inside financial institutions — the Marine Corps, the Department of Defense, the State of Oregon, a regional bank, and most recently as QA manager at Parametric Portfolio Associates, where I was responsible for platforms managing over $600 billion in client assets.
The compliance problem AttestTrack solves isn't something I read about. It's something I watched from inside institutional investment management.
AttestTrack is currently in early access. Visit attesttrack.com to learn more and apply.
Apply for Early Access