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ProofHQ and Compliance

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Level 7
Good morning all! We want to open up the Proofing tool to our clients (both internally to our company and externally). The problem is, we cannot meet the necessary compliance requirements to roll this out. Since we are a regulated company we have to comply with FINRA standards as well as some addtl legal regulations. All the boxes are checked with simply downloading the proof summary as a PDF and sending for compliance and legal review except for one. The one box that we cannot check is the outbound communication from PHQ when a proof is shared. The custom message and the actual communication itself is sent "on behalf of" our regulated users and therefore needs to be documented for auditing purposes. I was wondering if anyone else has run into his issue and maybe has found a solution or even a solid workaround for this scenario? addtl info: *PHQ has the email activity log, but there is no way to export that data or filter it * Fusion is not set up yet and if it was, it does not have a connector to our compliance vendor which is SourceOne * We cannot successfully authenticate the session ID or identify the regulated user when calling the proof and message APIs b/c of the SSO authentication (SAML 2.0) (
2 Replies

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Level 9
Hi @Brandon Pritchard , Great post. We encountered this type of complication during our implementation. (truth be told, FINRA compliance was a huge factor in why we delayed our launch by a few months). I've read your message a few times and I keep turning it over in my head. I'd love to connect more with you on this to brainstorm. My first thought is that have you checked your notifications that there isn't something that sends a copy to the sender when they send something out? I'd like to say I would think it as possible if you were 'asking for approval' via comments and enabling the 'reply to email' method but I'd really have to flesh that out on paper to see if I was hitting all the buttons you needed to hit. We were able to temporarily pause our FINRA compliance requirement so we could implement but like GoT...."FINRA is coming"....look forward to hearing what others have to say. Christina

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Level 9
Hi Brandon - how is your FINRA compliance going? We're getting back to the drawing board on this now.