Staying compliant is one of the most important — and most tedious — parts of running a brokerage. This checklist covers the essentials for 2026.
License & Registration
- [ ] Verify all active brokers have current licenses
- [ ] Check renewal dates and set calendar reminders 90 days in advance
- [ ] Ensure new hires complete required licensing within regulatory timelines
- [ ] Update business registrations in all active jurisdictions
Errors & Omissions (E&O)
- [ ] Review E&O policy coverage limits — ensure they match your book of business
- [ ] Verify all licensed staff are covered under the policy
- [ ] Document any claims or incidents from the past year
- [ ] Shop for competitive rates if your renewal is coming up
Record-Keeping
- [ ] Ensure client files are complete and accessible
- [ ] Verify digital records meet regulatory retention requirements
- [ ] Back up all critical data (AtlasBrokers handles this automatically)
- [ ] Audit file organization and naming conventions
Privacy & Data Protection
- [ ] Review data handling procedures against current regulations
- [ ] Ensure client consent forms are up to date
- [ ] Verify third-party vendors meet your privacy requirements
- [ ] Train staff on data handling best practices
Continuing Education
- [ ] Track CE credits for all licensed team members
- [ ] Ensure required courses are completed before deadlines
- [ ] Document all training activities
- [ ] Plan CE activities for the remainder of the year
Technology & Security
- [ ] Enable two-factor authentication for all accounts
- [ ] Review user permissions — remove access for former employees
- [ ] Test backup and disaster recovery procedures
- [ ] Update passwords and API keys on a regular schedule
How AtlasBrokers Helps
Our compliance tools automate much of this work: - Automatic reminders for license renewals and deadlines - Document management with regulatory-compliant retention - Audit logs for every action in your workspace - Team training through the built-in Training Academy