Compliance Command Center

Compliance by Control

Top Issues

Third-Party Vendor Inventory

List every provider/application that touches client PII, by category. Used to keep the firm's WISP vendor-risk section current - update this whenever a new third-party vendor is added.

Tax Prep Software (e.g., ProSeries, Lacerte, Drake, UltraTax)

Third-Party Applications (e.g., QuickBooks, Quicken, CFS Tax)

Cloud Provider(s) (e.g., Microsoft 365 / Azure)

Data Storage (e.g., SharePoint, OneDrive, on-prem server)

Email Provider(s) (e.g., Microsoft 365 Exchange Online)

CRM System(s) (e.g., practice management/client portal)

Payment & Banking Portals (e.g., merchant processor, bank portals)

Social Media / Marketing (e.g., contracted marketing vendor)

Save Vendor Inventory

AI Governance — Approved Tools

List every AI tool approved for use with firm/client data, and who approved it. Update this whenever a new tool is evaluated and authorized.

AI Tool	Approved By

+ Add Tool
Save AI Tools

Incident Log

Staff-maintained record of security incidents (WISP Section VII). Contact your account manager to report a new incident or correct an entry.

Date	Level	Description	Resolution	Source	Remediated

Recommended Enhancements

Non-mandatory add-ons beyond minimum WISP requirements (Section VIII). "Not Enabled" is informational, not a compliance failure.

Enhancement	Status	Result

Compliance Proof (SAS Token)

Generate a signed proof that your compliance record history is complete and hasn't been altered - it also shows the real pass rate at the moment it's issued, so it can't be shown off as a clean bill of health while controls are actually failing. Share the token with an auditor, insurer, or your CPA - they can verify it independently below, no login required.

Generate Proof Token

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Verify a Token Verify Token

IRS Security Six

Control Directive	Platform	Live Event Logs	Audit Status

FTC Safeguards / GLBA Controls

Control Directive	Platform	Live Event Logs	Audit Status