Tuesday, March 23, 2010

Question re: client portals--is there a way to capture your emails to clients?

It's tough to separate investment communications from technology, especially given the strict retention guidelines of the SEC and FINRA. That's why my ears pricked when an investment manager said that client portals can't retain emails sent through them. I took that as a challenge.

I discovered that at least one client portal, FamilyOfficeNetwork (FON), satisfies this retention need. 

"FamilyOfficeNetwork does retain messages sent within our portal and they meet the SEC's retention requirements. We can also have any notification email sent from our system BCC to any email address a firm desires," wrote FON's Aaron Pickett in response to my inquiry.

Bill Winterberg, I must thank you again for helping me find an answer to a technology question.

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Copyright 2010 by Susan B. Weiner All rights reserved


  1. Susan,

    It's always a pleasure to be of assistance! Arguably, the right technology makes anything possible. Impossible problems just haven't been tackled yet.

    Bill @ FPPad.com

  2. I enjoy your upbeat attitude as well as your generous help. Thanks again, Bill!

  3. The ShareVantage has that feature in their client portals as well. What's nice is that you can also setup scheduled emails that can be sent to your portal clients. And any time one of our customers uploads or views a document within their portal, we get notified via an automated email.


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