Largest Investment Management Group

One of Hanzo’s first FINRA compliance related web archives is for an investment management organisation with assets of around one trillion USD under management and with 22 offices worldwide, with websites in several languages.

This client’s investment philosophy is developed on multiple perspectives, making it a practical yet innovative philosophy to drive the business over many decades. The same practical approach led them to Hanzo Archives to capture and preserve their websites, broker/dealer sites, and financial calculators in order to meeting their FINRA compliance obligations.

As one of the foremost financial firms to comply with FINRA Regulatory Notice 10-6 for web content, we can proudly state that Hanzo is instrumental in making this possible in a cost effective and efficient manner. Hanzo captures the content of this client’s websites on a daily basis, which includes form-based, multi-page financial calculators and preserves them in native format, together with forensic information and comprehensive metadata. The service is provided in accordance with an agreed archive policy and meets rigorous quality assurance criteria.

Their requirements including collecting their websites, including Flash presentations, RTMP video, membership-only broker / dearler websites, and financial calculators every day of the week, and making all instances of their websites fully browsable and searchable on the same day. With Hanzo’s unique capabilities, they can browse all the links to any page, play videos and presentations, and use their financial calculators within the archive, to show archived historical data and user experience.

• Capture and preserve their websites, broker/dealer sites, and financial calculators
• Preserve the archived content in a forensically-sound archive on WORM equivalent storage
• Make the archive available for regulatory filing and e-discovery
• Meet FINRA Regulatory Notice 10-6, SEC 17a-4 compliance

This clients web archive has been tested on multiple occasions, including multiple internal legal discovery events and compliance filings.

See the original announcement and why FINRA and SEC 17a-4 compliance is a challenge for websites and social media.