Compliance
Licenses · education · E&O · documentation · disclosures · advertising
94%Compliance Score
10Tracked Items
3Compliant
4Expiring Soon
3Action Required
Escalation Ladder
- 30 days before expirationNotify employee
- 14 daysReminder
- 7 daysHigh priority
- OverdueEscalate to broker / owner
Escalation Log
| Item | Notified | Employee Action | Escalated | Resolution |
|---|---|---|---|---|
| Continuing education — D. Yanoshak | Feb 14 | None | Mar 16 | Open |
| License renewal — M. Quinn | Feb 28 | Started renewal | — | In progress |
| E&O certificate — office | Jan 02 | Uploaded | — | Resolved |
Compliance Register
| Item | Category | Responsible | Due | Status | Workflow |
|---|---|---|---|---|---|
| PA Salesperson License | Agent licenses | John Regan | Nov 30 | Expiring Soon | |
| Continuing Education (14 hrs) | Continuing education | Derek Yanoshak | Dec 15 | Action Required | |
| E&O Insurance Certificate | E&O | Brokerage | Jan 31 | Compliant | — |
| Buyer Agency Agreement — D-2211 | Transaction documentation | Brian Oleski | Oct 04 | Action Required | |
| Lead-Based Paint Disclosure — D-2214 | Required disclosures | Angela Toth | Oct 09 | Action Required | |
| Nalla Lake Ad Creative | Advertising approvals | Marketing | Oct 12 | Expiring Soon | |
| Broker File Review — September | Broker reviews | Owner/Broker | Oct 05 | Expiring Soon | |
| Management Agreement — 58 Mill St | Property management documents | Marisa Quinn | Nov 01 | Compliant | — |
| Office Policy Manual Acknowledgment | Office policies | All agents | Oct 20 | Expiring Soon | |
| PA Broker License | Agent licenses | Owner/Broker | May 31 | Compliant | — |