Acceptable Use Policy

This Acceptable Use Policy (“AUP”) governs your use of the Compliance Approved platform and related services (the “Service”) provided by Compliance Approved LLC. This AUP is incorporated by reference into our Terms of Service. Capitalized terms not defined herein have the meanings assigned in the Terms of Service.

1. Acceptable Use

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

2. Prohibited Uses

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. This includes probing, scanning, or testing the vulnerability of the Service without express written authorization.
• Distribute Malicious Content: Upload, transmit, or store any viruses, worms, Trojan horses, ransomware, or other malicious code or content designed to interrupt, destroy, or limit the functionality of any software or hardware.
• Abuse AI Features: Attempt to manipulate, deceive, or circumvent the AI compliance assistant to produce misleading, inaccurate, or harmful outputs. This includes attempting to cause the AI to generate content that misrepresents regulatory requirements or provides intentionally incorrect compliance guidance.
• Infringe Intellectual Property: Upload, transmit, or store content that infringes the intellectual property rights of any third party, including copyrights, trademarks, trade secrets, or patents.
• Interfere with Service Operations: Take any action that imposes an unreasonable or disproportionately large load on the Service infrastructure, or that interferes with or disrupts the integrity or performance of the Service.
• Resell or Redistribute: Resell, sublicense, lease, or otherwise make the Service available to third parties without our express written consent, except as permitted under your subscription plan for authorized users within your organization.
• Scrape or Extract Data: Use automated means to systematically access, collect, or extract data from the Service for purposes other than your authorized use, including training machine learning models or building competing products.

3. Data Handling Requirements

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. You are responsible for ensuring that such data is handled in accordance with applicable privacy and data protection laws.
• Access Management: You will implement appropriate access controls within your organization to ensure that only authorized personnel can view and manage sensitive compliance data within the Service.
• Data Accuracy: You will make reasonable efforts to ensure the accuracy and completeness of data you enter into the Service. Compliance Approved is not responsible for decisions made based on inaccurate data you provide.
• Timely Removal: You will promptly remove or update any data that is no longer accurate or that you are no longer authorized to retain.

4. Compliance with Laws

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.

The Service is a tool to assist with compliance management and does not guarantee compliance with any law or regulation. You remain solely responsible for your firm's regulatory obligations regardless of your use of the Service.

5. Enforcement

We reserve the right to investigate and take appropriate action against any violation of this AUP, including but not limited to:

• 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, or where we are prohibited from providing notice by law.

6. Reporting Violations

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.

7. Changes to This Policy

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.

8. Contact

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

Compliance Approved LLC
Email: info@complianceapproved.com

Legal Notices & Service of Process:
Compliance Approved LLC
c/o Registered Agent
254 Chapman Rd, Ste 209
Newark, DE 19702
This address is for legal notices only. For general inquiries, please contact us via email.