For compliance officers
Outreach your compliance team can actually supervise
Finterest brings advisor prospecting into a system built for oversight: reviewable before send, recorded for retention, and isolated per user. It supports your compliance program; it does not replace your supervision.
Finterest is built so a compliance officer can supervise outreach instead of chasing it. Messages can be reviewed before they send, every send is recorded for retention, administrative actions are logged, each user's data is isolated, and call-recording disclosure controls are off by default. It supports the obligations your program already carries: FINRA supervision (Rule 3110) and retail-communication approval (Rule 2210) for broker-dealers, and the adviser compliance-program (Rule 206(4)-7) and recordkeeping (Rule 204-2) requirements for RIAs. Finterest supports, and does not replace, your firm's supervision and approval. This is general information, not legal advice.
Supervision, built into the workflow
The hardest part of supervising outreach is visibility: knowing what went out, being able to review it first, and being able to produce the record later. Finterest makes messages reviewable before they send, captures clickwrap terms acceptance with a server-side audit trail, and records outreach so it can be retained and reviewed. For broker-dealers, that supports the retail-communication approval FINRA Rule 2210 expects; for RIAs, it supports the compliance-program and recordkeeping obligations under Rules 206(4)-7 and 204-2.
Controls a CCO asks about
- Pre-send message review, so nothing goes out unseen.
- A server-side audit trail and admin action logging.
- Recordkeeping support for retained communications.
- Per-user data isolation, AES-256 at rest, and TLS in transit.
- Call-recording disclosure controls that are off by default, pending your firm's legal review.
- One-click unsubscribe and opt-out handling on email.
The full list of controls is on the security page, and the trust posture (verifications, data handling, and legal) is in the Trust Center.
Where the responsibility stays
Finterest is a software platform that supports your firm's compliance program. It is not a compliance authority, and using Finterest does not by itself satisfy FINRA, SEC, or firm-specific obligations. Your firm's principals and compliance team remain responsible for supervision, approval, and recordkeeping.
Frequently asked questions
Can compliance review messages before they go out?
Yes. Communications can be reviewed before they send, which supports the principal approval and supervision the advisory rules expect. For broker-dealers, retail communications generally require registered-principal approval under FINRA Rule 2210; Finterest keeps messages reviewable before they go out.
Does Finterest help with recordkeeping obligations?
Yes. Outreach is recorded so communications can be retained and reviewed. RIAs generally must retain business-related electronic communications for five years under SEC Rule 204-2, and broker-dealers have parallel FINRA retention expectations. Finterest keeps a record of what was sent.
How is each advisor's data kept separate?
Each user's data is isolated from others, sensitive credentials are encrypted with AES-256 at rest, data is protected with TLS in transit, and administrative actions are logged. See the security page for the full list of controls.
Does using Finterest satisfy our compliance obligations?
No. Finterest is a software platform that supports your compliance program; it is not a compliance authority, and using it does not by itself satisfy FINRA, SEC, or firm-specific obligations. Your firm's principals and compliance team remain responsible for supervision, approval, and recordkeeping.
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Last reviewed: August 2026