Compliance overview for advisory firms

The ForgePeak is built for US and Canadian financial advisory workflows. This page summarizes platform capabilities that support your compliance program. It is not legal advice — work with your OSJ, compliance officer, or counsel to validate fit for your firm.

What the platform provides

• Express consent on webinar registration — required checkbox with timestamp, consent text version, and optional IP / user agent capture.
• Opt-out / unsubscribe — marketing emails include an unsubscribe link; opt-outs are recorded on the lead record and block nurture sequences.
• Educational disclaimers — default and firm-customizable disclosure on public registration pages.
• License-aware routing — restrict self-serve booking to jurisdictions where your firm is licensed; refer others to a compliant message.
• Activity history — consent events, stage changes, and email sends logged per lead for OSJ review.
• CSV export — export lead data including consent fields for books-and-records.
• Firm compliance settings — mailing address (CAN-SPAM / CASL sender identification), compliance contact email, custom privacy policy URL, and registration disclaimer.

United States considerations

• SEC Marketing Rule — firms control webinar content and disclosures.
• FINRA 2210 — applies to broker-dealer affiliated advisors.
• CAN-SPAM — physical mailing address in marketing emails when configured.
• Books and records — activity log and exports support retention workflows.

Canada considerations

• PIPEDA — purpose-limited collection on registration forms.
• CASL — express consent + functioning unsubscribe in commercial emails.
• Provincial securities — license routing supports cross-border referrals.

Your setup checklist

1. Complete Compliance settings (mailing address, compliance email, disclaimers).
2. Link your firm privacy policy URL if required by your compliance team.
3. Enable license routing if you operate across US states or Canadian provinces.
4. Confirm imported lists have documented opt-in before enabling nurture emails.
5. Review exported lead records with your compliance officer before live rollout.

Roadmap

SOC 2, advanced retention policies, and FINRA pre-approval workflows are planned as the platform scales with enterprise firms. Contact us through the in-app feedback form for compliance partnership discussions.