Acceptable Use Policy

The Service is designed to assist financial services firms with compliance management, regulatory operations, and related activities. Acceptable uses include:

• Managing and reviewing marketing materials for regulatory compliance
• Maintaining and distributing compliance policies and procedures
• Tracking employee attestations, training, and certifications
• Monitoring personal trading activities and processing pre-clearance requests
• Managing outside business activities, gifts, and political contributions disclosures
• Generating compliance reports and audit documentation
• Using the AI compliance assistant for regulatory guidance and document analysis
• Administering your firm's compliance calendar and workflow automation

You may not use the Service to:

• Violate Laws or Regulations: Engage in any activity that violates applicable federal, state, local, or international laws or regulations, including securities laws, privacy laws, and anti-money laundering statutes.
• Compromise Security: Attempt to gain unauthorized access to the Service, other user accounts, or any computer systems or networks connected to the Service.
• Distribute Malicious Content: Upload, transmit, or store any viruses, worms, Trojan horses, ransomware, or other malicious code.
• Abuse AI Features: Attempt to manipulate, deceive, or circumvent the AI compliance assistant to produce misleading, inaccurate, or harmful outputs.
• Infringe Intellectual Property: Upload, transmit, or store content that infringes the intellectual property rights of any third party.
• Interfere with Service Operations: Take any action that imposes an unreasonable or disproportionately large load on the Service infrastructure.
• Resell or Redistribute: Resell, sublicense, lease, or otherwise make the Service available to third parties without our express written consent.
• Scrape or Extract Data: Use automated means to systematically access, collect, or extract data from the Service for unauthorized purposes.

When using the Service, you agree to the following data handling obligations:

• Authorized Data Only: You will only upload and process data that you are authorized to use and that is relevant to your compliance management activities.
• Sensitive Data Protections: You will exercise reasonable care when uploading documents that may contain personally identifiable information (PII), material non-public information (MNPI), or other sensitive data.
• Access Management: You will implement appropriate access controls within your organization to ensure that only authorized personnel can view and manage sensitive compliance data.
• Data Accuracy: You will make reasonable efforts to ensure the accuracy and completeness of data you enter into the Service.
• Timely Removal: You will promptly remove or update any data that is no longer accurate or that you are no longer authorized to retain.

You are responsible for ensuring that your use of the Service complies with all applicable laws, regulations, and industry standards, including but not limited to the Securities Act of 1933, the Securities Exchange Act of 1934, the Investment Advisers Act of 1940, FINRA rules, and applicable state securities laws.

We reserve the right to investigate and take appropriate action against any violation of this AUP, including:

• Issuing warnings for minor or first-time violations
• Temporarily suspending access to the Service
• Permanently terminating access to the Service
• Reporting violations to appropriate law enforcement or regulatory authorities
• Pursuing any available legal remedies

We will endeavor to provide notice before taking enforcement action except where immediate action is necessary to protect the Service, other users, or third parties.

If you become aware of any violation of this AUP, please report it to us immediately at info@complianceapproved.com. We take all reports seriously and will investigate promptly.

We may update this AUP from time to time. Material changes will be communicated through the Service or by email. Your continued use of the Service after changes take effect constitutes acceptance of the revised AUP.

If you have questions about this Acceptable Use Policy, please contact us: