Investment Management Firm Chooses Hanzo for FINRA Compliance


One of the world’s largest investment management organisations has selected Hanzo Archives to provide a comprehensive, fully browsable web archive for FINRA compliance.

Following extensive technical and process evaluations, this FINRA-regulated investment management organisation, with around $1 trillion under management, selected Hanzo Archives to collect, preserve and provide instant playback of their customer-facing websites and financial calculators. The crucial business drivers for the company were their FINRA and SEC 17a-4 compliance obligations and corporate governance needs. Hanzo were found to be the only provider with the technology to capture websites comprehensively, in native form, and store them in a forensically sound way, ready for instant playback when needed, combined with extensive experience and mature archive processes suitable for the task.

Hanzo collects the entirety of their websites, including Flash presentations, RTMP video, membership-only websites, and form-based financial calculators. These are collected every day of the week and all instances of their websites are fully browsable and searchable on the same day. The customer can browse all the links to any page, play videos and presentations, and re-play their financial calculators showing the archived historical data and behaviour.

FINRA and SEC 17a-4 compliance is a challenge for websites and social media for many reasons. Hanzo are delighted to win this important customer, especially after such extensive evaluations, that proved our technology and processes to be ideally suited to compliance for websites.

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