Compliance for Broker-Dealers

Compliance for Broker-Dealers
Intuitive workflows and archiving features

The AdvisorWebsites.com Compliance Dashboard empowers your compliance department with the tools needed to approve, moderate or reject content for each representative's website. Our user-friendly interface makes it easy for your team to communicate with the representatives and with each other; streamlines the moderation process by showing color-coded before and after edits states; allows for disclosures to be automatically inserted, helps control your corporate brand identity for unbranded representatives and finally archives every single notes, edits and updates for future reference.

Intuitive dashboards

We provide an easy to use compliance dashboard that is accessible at any time. In addition, each FA has their own “advisor dashboard” to allow for easy management of all website features at any time. The compliance dashboard and each website comes with a simple and intuitive content editor that can be used by FA’s to make updates during the moderation process.

Workflow and processes associated with our services

The websites and the content created by FA’s will go through a moderation workflow (see below). Moderation can be performed my multiple reviewers such as Compliance, Advertising Review etc.

• When the FA is ready, they submit their website for moderation through the advisor dashboard.
• Moderation will review the submission and can edit, approve, reject, assign to other approval team members, or send back to the advisor for revisions.
• Once approved by the required moderators, updates are automatically published.
• All content approvals, compliance notes and versions of the websites are permanently archived and retrievable online at any time.

Data security

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

1. 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.

2. 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 constantly be working with to improve the software we use. This software is monitored regularly by our staff for new security bulletins and updated accordingly.

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

An ideal website partner

AdvisorWebsites.com is a trusted partner to some of the most reputable Broker-Dealers in North America. Our team offers decades of experience with technical support, production management, online marketing, and web development to ensure our clients receives the very best when it comes to online presence.

To learn more about becoming a partner or having one of our consultant evaluate your needs and demonstrate our compliance dashboard, please complete the Broker-Dealer Partner Form. Alternatively, contact our sales department by phone 1-866-638-0273 or email sales@advisorwebsites.com.