ComplianceDesk.tech

Terms of Engagement

Last Updated: January 30, 2026

‍

1. Purpose of Engagement

ComplianceDesk operates as a brokerage compliance and governance operations desk. Engagements are designed to support real estate brokers and brokerage ownership in fulfilling regulatory supervision, documentation, and oversight responsibilities.

ComplianceDesk provides operational compliance services. Engagements do not provide software access, legal advice, or regulatory representation.

2. Nature of Services

Services may include, but are not limited to:

• Monitoring of MLS activity for broker oversight purposes
• Review of transaction compliance submissions
• Documentation of compliance reviews and review outcomes
• Escalation tracking and issue monitoring
• Preparation of audit-ready compliance records and summaries
• Periodic reporting to the broker or designated leadership

Services are delivered behind the scenes. Brokers and agents do not receive public platform access unless explicitly agreed in writing.

Trigger-Based Compliance Review Model:

ComplianceDesk compliance reviews are initiated only upon defined workflow or system triggers, including but not limited to transaction submissions, resubmissions, or stage changes routed into ComplianceDesk review systems. Files that are not submitted, re-submitted, or otherwise re-triggered do not create a monitoring, review, or investigation obligation. ComplianceDesk does not independently audit, close, or investigate transactions absent a review trigger or a broker-directed request

3. No Legal Advice; No Transfer of Broker Responsibility

ComplianceDesk does not provide legal advice and does not act as legal counsel.

All statutory and regulatory responsibility remains solely with the broker of record and/or brokerage ownership. ComplianceDesk supports broker supervision but does not assume broker liability, issue legal determinations, or replace broker judgment.

4. Professional Judgment & Use of Automation

ComplianceDesk exercises professional judgment based on documented standards, brokerage policies, and available information.

Internal tools, workflows, and automation may be used to support consistency, tracking, and reporting; however:

• Automation does not independently determine compliance outcomes
• Human review and judgment remain central to all services
• Internal systems and tooling are proprietary and are not disclosed as part of this engagement

5. Scope Boundaries

Unless expressly stated in writing, ComplianceDesk does not:

• Impose disciplinary action on agents or independently enforce brokerage policy.
• Provide legal determinations or regulatory rulings
• Represent the brokerage before regulators or licensing authorities
• Provide continuous, on-demand transaction management beyond compliance review, issue escalation, documentation, and corrective guidance provided in support of broker supervision
• Offer public dashboards, logins, or self-serve access
• Perform services outside the jurisdictions, MLSs, or brokerages specified in the engagement agreement

ComplianceDesk may engage in active transaction files to support compliance correction and oversight; however, such involvement does not constitute deal management, negotiation, or substituion for broker or transaction coordination functions.

ComplianceDesk may issue documented compliance review outcomes (including approvals, returns, clearance statuses, and escalation designations) for operational oversight purposes in accordance with broker-defined standards and the scope of engagement. Final statutory authority and responsibility remain with the broker of record.

Operational Reporting vs. Governance Notice

‍Daily summaries and similar reports generated by ComplianceDesk are automated operational artifacts derived from compliance ledger activity and review records. These summaries exist for transparency and recordkeeping purposes only and do not function as formal notice, task assignment, escalation trigger, or governance communication. Formal governance notices (including Engagement Terms or Privacy Policy updates) are delivered separately through designated brokerage leadership or routing contacts.

Additional services

Including but not limited to training, internal documentation, intranet or compliance hub development, workflow design, or advisory support — are not included by default and are provided only if expressly agreed in writing. The provision of any such services does not expand or modify ComplianceDesk’s core compliance obligations unless explicitly stated in an amendment or separate agreement.

Requests outside the defined scope may require a separate written amendment.

6. Confidentiality

All brokerage data, agent records, transaction information, and compliance materials are treated as confidential and used solely for the purpose of providing services under the engagement.

ComplianceDesk may maintain internal records necessary to document oversight activities and compliance outcomes.

7. Engagement Structure

Engagements are retained, relationship-based, and non-subscription in nature unless otherwise specified.

Pricing, duration, scope, and reporting cadence are defined in a separate written agreement or engagement letter.

8. No Public Endorsements or Marketing Use

Brokerage names, logos, testimonials, or engagement details are not used publicly without explicit written permission.

9. Limitation of Access

ComplianceDesk reserves the right to limit or decline engagement where regulatory risk, data access constraints, or governance misalignment prevent effective oversight.

10. Modifications

These Terms of Engagement may be updated periodically. Continued engagement constitutes acknowledgment of the current terms unless otherwise agreed in writing.

11. Contact

For engagement inquiries or questions regarding these terms:

hello@compliancedesk.tech