Compliance made simple

As a financial advisor, you need to ensure your web site meets all regulatory and compliance requirements*. We highly recommend that you submit all your web materials to your respective compliance contacts for approval.

While our content has been pre-approved by several compliance departments, this may not include your department, and past approval does not guarantee future approval.

Before starting, you may also want to verify with your Compliance department that you are allowed to have an independent web site.

We have developed a technology that enables you to export a copy of your web site for your Compliance department to review and hopefully makes their processes easier.

Compliance Process

You can handle compliance requirements in one of two ways:

  • Option A*: ( handles)

    We can submit the site for approval on your behalf (if we have an existing relationship with your compliance department or are provided with the appropriate contacts).

  • Option B*: (Advisor handles)

    You can handle submission to compliance departments and manage approval internally. Any revisions that need to be made can be submitted to us to be updated.

    In the event that you have an internal Compliance department within your organization, you may want the option to handle the Compliance approval yourself.

In many cases, we have worked directly with many of our partners and can further assist in the Compliance approval process by working with you or even on your behalf. Please be sure to indicate any specific Compliance requirements you may have during the signup process.

* AW Software Inc. makes no representations as to the adequacy of the content of your website for any purpose or its compliance with applicable laws. You may wish to discuss the content of your site with your legal advisor.

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