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Social media and web archiving for financial firms best practices, FINRA & SEC requirements and tips.Download Whitepaper
Compliance is Not Optional
The financial services industry is witnessing incredible year to year growth on social media, and in a recent survey, 79% of Financial Advisors said they had successfully acquired new clients through social media. Addressing this heavy usage, FINRA, SEC, FFIEC and FCA regulatory notices concerning web and social media sites like SEC Rule 17-a3 and 17a-4 explicitly state that firms must retain records of all business-related electronic communications to remain compliant with their regulations. Failure to comply can result in hefty fines, bad publicity, and ultimately loss of business.
“PageFreezer is simple. So many other tools are complicated and hard to understand. We use PageFreezer to automate some of our SEC compliance needs. As a registered independent advisory firm, PageFreezer allows us to keep automated records of our Facebook posts and to monitor them for compliance.”
Pass Audits With Full Confidence
How would your firm handle a SEC, FINRA, FFIEC or FCA audit? Would your IT department be left scrambling to produce the required content? Or would you rather have confidence your records are prepared for quick, complete retrieval of all relevant web pages? PageFreezer delivers an easy-to-use portal to easily retrieve any online document, from any time. With a proven, trusted archiving system in place you’ll never be caught scrambling to cover or pass an audit request.
“Very easy to use. Quick reporting of data when needed … Assists me with not having to keep paper copies or to insure we make copies of each page when updates are made. It is a time saver.”
Get Website & Social Media Archiving You Can Trust
Responsible handling of your firm’s sensitive data is vitally important. We offer website and social media archiving that is secure, reliable and automatic. Your archives are securely stored on our private SaaS cloud platform in accordance with rigorous SSAE 16 auditing standards. All posts, tweets, messages, pages and blogs are signed with a SHA-256 digital signature, and time-stamped to meet data integrity and authenticity requirements set forth by the Federal Rules of Civil Procedure (FRCP) and Regulation Fd (Reg Fd).
“As regulations change, we didn’t want to always feel like we always had to be the ones to be responsible to change as the industry changes. We wanted a solution that would update this as it went. We now have some peace of mind and the ability to sleep at night and not worry that something is going wrong that may put our business in jeopardy.”