Communications Archiving and Review

According to SEC Rule 204-2 of the Investment Advisers Act of 1940, every SEC-registered investment adviser is required to keep true, accurate, and current books and records about its business activities. Included in the long list of required records are certain written communications – which means your website, social media, email, text, other off-channel communications, and any other means of contacting and engaging clients must be captured and archived in a manner prescribed in the rule.

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Communications Archiving and Review

Invest in Automated Archiving.

COMPLY’s solution provides a comprehensive means of capturing customer communications, reviewing the content, and storing the records in a compliant manner.

  • Capture and store digital, client-facing communications from multiple sources, including emails, webpages, and social media platforms including Facebook, LinkedIn, and Twitter
  • Optimize the content approval and review process through automation and auto-flag keywords
  • Minimize regulatory, financial, and legal risk and mitigate operational risk with supervisory capabilities
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Simplify the communications archiving and review process with the all-in-one solution by COMPLY.

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STRAIGHT FROM THE USERS

Client Testimonials

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“Having everything in one place is ideal and I think it’s quicker to have everything online too. Data is backed up and secure, and the cross-functionality is incredibly useful.” – Iain Colquhoun, Sona Asset Management

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“COMPLY’s customer support has major advantages over our previous vendor. For a start, they are quicker to respond, they seem to understand the product better and they understand the industry better.” – Chase Eldredge, Angel Oak Capital Advisors

Why COMPLY?

DIRECT BROKER FEEDS

Integrated direct broker feeds from more than 300 brokerage firms and a robust data normalization process provide unrivaled information accuracy and dependability.

Archiving and Review with Confidence

Meet your jurisdictions books and records compliance requirements with a technology-backed solution designed to capture, store,  and archive. With COMPLY.

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WITH CONFIDENCE.

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2024 Annual Review Guide

Download COMPLY’s Annual Review Guide for an analysis of the annual review process, testing protocols, and documentation requirements.

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