ACES Makes Archival Compliance a Breeze

To be prepared for an SEC audit, you should keep copies of your website as it evolves, just like you save copies of all your other marketing materials. Of course, you could print out every single page of your site every time you update it and keep the hardcopy on hand in case of an audit, but that would devour a lot of time and paper.

Instead, Advisor Products Inc. came up with AdvisorSites Compliance Engine Snapshot™ (ACES) to make the archiving process both paperless and painless-as well as providing you with an effective way to retrieve old versions of your site if you change something and want to go back.

ACES lets you take a snapshot of your entire website and stores it locally in compressed form on a computer in your office, with the click of a mouse. In seconds, the application assigns the file a time and date stamp and then automatically compresses it, ensuring that it takes up a minimum of space on your hard drive, CD or any other digital storage medium.

We developed ACES after compliance consultant Brian Hamburger of MarketCounsel LLC told API founder Andrew Gluck that regulators want to see copies of all versions of an RIA’s website when an audit occurs.

Priced at $300 a year and fully integrated into the AdvisorSites BackOffice, ACES is a state-of-the-art compliance solution.

AdvisorSites regards compliance responsibilities seriously and will gladly cooperate with any specific compliance obligations you might have. All our content is submitted for review to NASDR Inc. Review letters from NASDR are posted on a web page on our website, so an advisory firm or compliance officer can access an approval letter for any of our content simply by clicking on a link to that story.

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