Compliance Made Easy – The AltaStreet Compliance Manager

2015-07-07

One of the tools that sets AltaStreet apart from other web design companies, and makes us a favorite of broker/dealers, is our website compliance manager.  The AltaStreet Compliance Manager empowers an advisor to make all the changes they need to their website, and allows the broker-dealer to keep up with compliance.  Here are a few features:

  • A single location to review all AltaStreet client websites
  • Simple compliance approval process (outlined below)
  • Compliance review form highlights any changes to the updated page, simplifying the review of long pages
  • Unlimited number of users for each compliance department, at no extra cost
  • PDF snapshots are taken of each page for every approved revision
  • PDF snapshots are archived and searchable by date
  • Configurable email notifications can be sent to a single email address or the entire compliance staff
  • Weekly reminders of any pending changes
  • PDF snapshots are attached to each change notification

How it Works

The AltaStreet Compliance Manager is integrated into the website content management workflow, allowing it to keep updates to the website from being published until the content has been reviewed and approved by the appropriate compliance department.

Here’s how it works:

compliance-manager

The system is based on 2 decisions, one by the content editor and one by the compliance officer.  When a change is made to the website (update an existing page, add a new article, etc…) the content editor has three choices:

  1. Save changes as a draft.  These changes aren’t published to the site and are only available to a content editor.
  2. Send changes to compliance for approval.
  3. Save changes and publish the page.  This is helpful for fixing typos or formatting issues that don’t require compliance review.

If option #2 is chosen, and changes are sent to compliance, an email is immediately sent to the compliance department.  The compliance officer can then log into the Compliance Manager and view a list of pages awaiting their review.  As the officer reviews a page, they have three options:

  1. Approve the changes.  The page will be published to the website immediately.
  2. Reject the changes.  The compliance officer will provide feedback as to why this page is rejected, and the feedback will be emailed to the advisor.
  3. Approve the changes upon revision.  The compliance officer will provide feedback as to what needs to be changed, and the page will be published immediately on the next update.

We’ve worked hard to make this system as streamlined and simple as possible for everyone involved.  And we are always open to constructive criticism and suggestions to improve.  Give us a call or send us an email at support@altastreet.com.

 

Category: News

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