Email, Social Media, and Website Checkup

Compliance Approved Email Hosting Vendors
All business related email communications must be properly archived. In order for our advisors to accomplish this, they need to be using one of the hosting vendors listed:
  • Microsoft Office 365
  • GoogleApps
  • RedTail
  • Intermedia
  • AppRiver
  • Smarsh Microsoft Exchange (in-house server)
If you are not receiving or know of someone who is not receiving Regal and/or Regulus email updates please contact Ben Westin (Bwestin@regalfin.com) in the Regal Compliance Department.
Compliance Approved Website Hosting Vendors
Regal allows advisors to maintain a website for business purposes in order to boost their online presence. If you have a website it needs to be hosted by one of the compliance-approved vendors:
  • Twenty Over Ten
  • Advisor Launchpad
  • FMG Suite
  • Emerald Connect
  • Advisor Websites
If your current site is not set up with an approved vendor or you would like to create a website, please reach out to Morgan Gould (Mgould@regalfin.com) in the Regal Marketing Department to discuss what vendor is the best fit for your practice.
Compliant Business-Related Social Media Accounts
If you have business-related social media it needs to meet the following criteria:
  • Follow the posting guidelines included in the attached social media policy
  • Set up in SMARSH for archiving
  • Submit a signed attestation/posting guidelines and complete the training in Quest CE
If you have questions about posting guidelines or training requirements please contact Ben Westin (Bwestin@regalfin.com) or Abby Morgan (Amorgan@regalfin.com) in the Regal Compliance Department. If you are interested in joining Regal Marketing’s weekly pre-approved social media content posting, please reach out to Morgan Gould (Mgould@regalfin.com) in the Regal Marketing Department.

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