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Compliance Tools for Financial Advisors

Website Archiving

Easy and effective, WEBLock preserves an archive of your entire website in two versions, PDF for compliance and HTML for content restoration. Files are compressed, dated and stored savely behind 256-bit SSL security encryption. Just login to your secure area and retrieve your archive as necessary. WEBLock is easy, paperless and automatic.

256-bit SSL secure Compliance Vault 256-bit SSL security encryption protects your important data.

Pricing
Quarterly back up schedule: $199/year
Single back up: $79

Email Archiving

Compliance Email Archiving

CEP Advantage has partnered with a leader in email compliance solutions. IM Archiving and BES hosting for Blackberry devices make a complete compliance solution.

  • Compliant with SEC 17a-3 and 17a-4, NASD 3010/3110
  • Third Party Vendor Letter of Resolution for FINRA
  • Archives are in WORM (Write Once, Read Many) class media
  • Audits, lost data retrieval, and data mining are made easy with the archive and its associated capabilities
  • Quickly searches and retrieves email messages and attachments
  • Fully hosted using MS Exchange Server (MSE)
Pricing
Set-up: $500
Annual Fee: $180/user/year

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