We are currently

View our business hours

What’s Involved in the Compliance Approval Process?

Follow

Please be sure to indicate any specific compliance requirements you may have during the sign-up process. This will allow us to accurately guide you through the best approach for your specific project.

The Advisor Websites platform archives all content changes and updates (as mandated by FINRA). The following must also be considered:

Independent Investment Advisors

  • All content must be approved by a registered representative as defined by FINRA

Advisors Working Under a Broker-Dealer

  • The Advisor Websites content and website framework has been pre-approved by several major compliance departments.
    • In this scenario, we will establish a compliance dashboard for your broker-dealer and any changes you submit will be reviewed by your organization’s moderation team.
    • Your organization’s compliance department will approve changes and updates before they go "live". Once approved, most updates appear instantaneously on your site.
    • All content approvals, compliance notes and versions of the websites are permanently archived and retrievable online at any time.
    • Content can be submitted fro review from the advisor's dashboard.

If you want to know how to submit your website to compliance, click here

Note: AdvisorWebsites.com 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.

Was this article helpful?
0 out of 0 found this helpful
Have more questions? Submit a request

Comments

Powered by Zendesk