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Financial Planner Website - Compliance


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2 posts
Sarah Arendt-Beyer
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We have a financial planning client and are working on a website redesign for them. We need to find a way to archive all site changes in order to remain in compliance, as I understand it. Does anyone have experience with this or have recommendations about how to remain in compliance? We would like to program the site using DNN. Thanks much for any insights into this!

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Hi Sara,

Many many moons ago I used to be a registered rep (stock broker then into compliance). Content published to the public(brochures, websites) had to be reviewed to make sure it didn't state anything along the lines of guaranteed returns, etc. For archiving I would image if the NASD/SEC wanted to review prior content having it archived would allow the firm to pull previous data to provide to these agencies. I would inquire about what these requirements are and how long this data needs to be stored.

Hope this helps.

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