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Advisor technology governance|10 minute read

Compliance Review Checklist for Advisor Tax Software

Use this product-agnostic worksheet to gather software-use, communications, records, privacy, access, and oversight evidence before firm review.

Published August 17, 2026 | Last reviewed August 17, 2026

Advisor technology governance

Evidence-Request Worksheet

Use this worksheet to organize current documentation and unresolved questions before the firm's authorized reviewer decides whether and how software may be used.

Canonical: https://retiretaxscanpro.com/resources/compliance-review-checklist-advisor-tax-software

Reviewed: August 17, 2026

Checks remain only on this open page and reset when it reloads. They are not submitted, stored, scored, measured, or treated as approval.

Organize evidence, not the decision: This product-agnostic worksheet does not determine compliance, approve or reject a vendor, or identify requirements that apply universally. The firm's written procedures, registration, business model, jurisdiction, communication, data, and intended use control its review.

1

Intended use and accountable owner

01The proposed user, meeting stage, audience, and business purpose are documented.
02A responsible business owner and authorized firm reviewer are identified.
03Permitted, restricted, and out-of-scope uses are written in firm-specific terms.

2

Client-facing output and communications

04Representative screens, reports, disclosures, and delivery language are available for review.
05The firm has classified how relevant outputs and related messages will be reviewed before or after use.
06Claims, rankings, illustrations, sources, qualifications, and material limitations can be verified from current documentation.

3

Records and case lifecycle

07The firm has identified which inputs, reports, approvals, correspondence, and supporting materials may be required records.
08The approved archive, retention owner, and retrieval process are documented independently of the software's own storage model.
09Export, deletion, session clearing, account closure, and legal-hold implications have been reviewed.

4

Privacy, security, and service providers

10Data collected, processed, transmitted, stored, exported, and intentionally excluded are described.
11Authentication, access controls, encryption, incident response, backups, disposal, and material limitations have reviewable documentation.
12Relevant hosting, authentication, payment, analytics, communication, and other service-provider roles are disclosed.

5

Access, change, and operational control

13Provisioning, role access, credential rules, offboarding, and periodic access review have owners.
14Training, approved-use instructions, support escalation, and prohibited-data guidance are available.
15Tax-year updates, material product changes, outages, corrections, and version notices have a defined review path.

6

Decision record and unresolved questions

16Exceptions, unanswered questions, requested evidence, and responsible follow-up owners are recorded in the firm's approved system.
17Any pilot scope, conditions, monitoring, review date, and withdrawal path are documented by the firm.
18The authorized firm reviewer records the decision outside this worksheet; checking items here does not constitute approval.

Limitation: A checked box records no decision and supplies no approval, certification, legal opinion, endorsement, ranking, or recommendation. This educational worksheet does not replace firm supervision, counsel, compliance, procurement, information-security review, professional judgment, or records maintained in the firm's approved systems.

Primary references

These current first-party sources provide review context, not a universal requirements map. Applicability depends on the firm and use case.

FINRA Rule 3110: Supervision
FINRA Rule 4511: General Requirements
FINRA Rule 2210: Communications with the Public
SEC Investment Adviser Marketing small-entity guide
SEC Rule 204-2 current text context
SEC Regulation S-P amendments

Supporting resources

Advisor Tax Software Evaluation Scorecard →RetireTax Scan Pro compliance documentation →Security and data handling →Privacy policy →Service providers →Methodology and supported tax year →Editorial standards and corrections →Tax software scope comparison →Explore the product demo →Review annual pricing →

Product-agnostic evidence-request worksheet | No score, approval, or saved result

RetireTax Scan Pro | Reviewed August 17, 2026

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