Broker-Dealer and Compliance

Compliance Process

The Advisor Websites’ compliance process is a simple 3-step process that gives your compliance department the tools needed to moderate each representative’s content on their website.

Our user-friendly interface makes it easy for your team to communicate updates and changes with each other; streamline the moderation process by showing color-coded before and after edits states; allow for disclosures to be automatically inserted; help control your corporate brand identity for unbranded representatives; and archive every single notes, edits and updates for future reference.

1. Submit Content

Each advisor has their own “Advisor Dashboard” that allow for easy management of all website features at any time. On the Dashboard, advisors have the ability to create new content such as pages or blogs.

When the advisor is finished and submits the content to be reviewed, the compliance officer receives a notification and the revision process begins.

2. Compliance Review

Compliance officers have their own dedicated Compliance Dashboard that is accessible at any time. Any outstanding content is highlighted and upon revision, the compliance officer has three options: approve, reject or send the content back to the advisor for further revision.

Approve: When content has been approved, updates are automatically published and all the updates, notes and versions of the website are permanently archived and retrievable online at any time.

Reject: When content has been rejected, the updates do not get published, but the updates, notes and versions of the website are still permanently archived and retrievable online at any time.

Send Back to Advisor: When content is sent back to the advisor, the advisor gets a notification to update the content and then resubmit for another review.

3. Archive & Data Security

Any content is that approved or rejected automatically gets archived and a screenshot of the latest version of the website is taken and kept as well.

There are three levels of data security risks posed by web services, which we address:

Physical Security: Our servers are stored in a co-location facility, which has 24/7/365 security staff. Physical server access is monitored using access cards and digital video recording.

System Security: Our servers run up-to-date versions of industry-standard open-source software. By using open-source software, we have access to a large community of professionals who we can continually be working with to improve the software we use. This software is monitored regularly by our staff for new security bulletins and updated accordingly.

Web Security: Our services protect your user’s personal information by enabling SSL connections for sensitive data. The web content management system provides password-protected access to the web-accessible administration features. The content management system receives regular security updates to resolve any discovered vulnerabilities.