website/blog compliance
Hi all,
I'm wondering if anyone has any experience with publishing research online and how to make it comply with SEC/FINRA regulations, specifically 17-4a and 17-3a. We're trying to ramp up some online distribution tools, the first foray being a simple "blog" updated by an analyst. I think we need to archive this offsite in a WORM (write once, read many) format, but I'm having trouble finding a service provider.
We already have email compliance tools, and I was wondering if we could just download and archive the blog, then send it through the email system? Does anyone know anything about this?
Thanks much.
That is, you would have to make sure that any meta-data and comments related to the post are also archived. This is why most analysts who want to do something similar will just do an email based update. You could combine an email list with titles on a page that lets people know when you have published an update. This is much easier to police from a regs perspective.
Yes, we would not be allowing any comments on the posts.
We are just trying to figure out what type of archiving is necessary. Could we just save the posts or the entire blog to our existing PDF report archival system?
We are planning to use an email list with titles that includes updates that are published (already have the system in place) and this already goes through our existing email archival system. Just trying to cover our bases.
Odit vero sit officiis voluptas dolorem perferendis iusto. Dolores vel repellat dolorem vel cum et nobis tempora. Voluptatem quia libero est id eos necessitatibus rerum.
See All Comments - 100% Free
WSO depends on everyone being able to pitch in when they know something. Unlock with your email and get bonus: 6 financial modeling lessons free ($199 value)
or Unlock with your social account...