Critical Compliance Areas
Configure HubSpot to meet these key regulatory requirements
Communication Archiving
SEC Rule 17a-4
Regulatory Requirements
- Capture all client communications (email, SMS, social)
- Store in WORM-compliant system
- 3-7 year retention based on record type
- Audit trail of all access and changes
HubSpot Solution
- Enable email archiving to third-party compliance system
- Configure webhooks for communication capture
- Implement custom retention workflows
- Set up audit log monitoring
Marketing Communication Review
FINRA Rule 2210
Regulatory Requirements
- Pre-approval of all public communications
- Principal review of advertising materials
- Documentation of approval process
- Retention of all marketing materials
HubSpot Solution
- Create approval workflows for all campaigns
- Require CCO/Principal sign-off before publishing
- Use HubSpot workflows to enforce review cycles
- Archive all versions in document library
Client Data Protection
Regulation S-P
Regulatory Requirements
- Protect personally identifiable information (PII)
- Implement access controls and encryption
- Data breach notification procedures
- Annual privacy notice distribution
HubSpot Solution
- Configure field-level permissions
- Enable 2FA for all users
- Set up data encryption at rest
- Create automated privacy notice workflows
Books & Records
SEC Rule 17a-3
Regulatory Requirements
- Maintain accurate client records
- Document all advisory relationships
- Track fee arrangements and billing
- Preserve account opening documentation
HubSpot Solution
- Custom objects for account documentation
- Required fields for critical data
- Integration with document management
- Automated record-keeping workflows
6-Step Implementation Process
Systematic approach to compliant HubSpot configuration
1
Compliance Assessment
1 week
- Review firm registration type (RIA, BD, hybrid)
- Identify applicable regulations
- Document current compliance gaps
- Define required HubSpot configurations
2
Data Architecture Setup
2 weeks
- Configure custom properties for compliance data
- Set up required fields and validation rules
- Create compliance-specific deal stages
- Implement data retention policies
3
Workflow Automation
2 weeks
- Build marketing approval workflows
- Create communication review processes
- Set up automated audit trail capture
- Configure alert notifications
4
Integration & Archiving
2 weeks
- Connect to compliance archiving system
- Integrate document management platform
- Set up API connections for data sync
- Test end-to-end capture processes
5
Testing & Validation
1 week
- Conduct compliance scenario testing
- Validate archiving and retention
- Review access controls
- Document compliance procedures
6
Training & Documentation
1 week
- Train users on compliant usage
- Create compliance playbooks
- Document all configurations
- Establish ongoing monitoring procedures
Required Compliance Integrations
Essential third-party systems for complete compliance
Smarsh / Global Relay
SEC 17a-4 compliant archiving
WORM storageLegal holdeDiscovery
Onna / Theta Lake
Communication surveillance
AI content reviewPolicy enforcementRisk detection
DocuSign / Adobe Sign
Compliant document execution
Audit trailsTamper-evident sealsLong-term validation
RingCentral / Zoom
Call recording and archiving
Automatic recordingTranscript generationSecure storage
Compliance Best Practices
Proven strategies for maintaining ongoing compliance
Access Control
- Implement role-based permissions aligned to firm structure
- Require 2FA for all users accessing client data
- Regular review and audit of user access
- Immediate deactivation of departed employee accounts
Communication Management
- Pre-approve all email templates before use
- Disable unmonitored communication channels
- Archive all client interactions automatically
- Flag high-risk keywords for compliance review
Data Retention
- Configure 3-year minimum retention for all client records
- Set 7-year retention for account opening documents
- Implement legal hold process for litigation
- Regular backup and disaster recovery testing
Audit & Monitoring
- Enable HubSpot audit log for all changes
- Monthly review of compliance workflow performance
- Quarterly access control reviews
- Annual third-party compliance assessment