Compliance Guide


Harvest Exchange has spent considerable resources designing, building, and patenting an internal compliance product that is free for you to use. The product allows you to easily access, not only Harvest, but also other social networks such as Facebook, LinkedIn and Twitter, in a fast, easy, and SEC and FINRA compliant manner.

Managers and firms that leverage our platform are either regulated by the SEC, FINRA, or another regulatory body. Our compliance product was built with an intense focus on compliance issues and we currently have the most highly regulated entities posting content on harvest, that can even be shared to Twitter, LinkedIn etc. with minimal effort by the posting firm.

The Harvest Exchange compliance product allows for several features that your firm can take advantage of:

  1. Ability to designate one or more compliance officers to oversee your firm’s Harvest account
  2. Full control over what content gets published. Posts shared by verified finance Professionals that require compliance review are queued and only distributed once they are approved by compliance manager(s) that you designate.
  3. Robust approval system that streamlines the compliance process for your firm. An email will be sent every time one of your employees posts content that can be quickly approved or denied.
  4. Disclosures and disclaimers that you set will be displayed on every post that you make throughout the system

Steps to get to Compliance Settings

Once you have been professionally verified, here are the quick steps to access your compliance settings within Harvest Exchange:
  1. Move your mouse pointer over your user profile in upper right hand corner
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  2. Go to "Account Settings"
  3. Go to "Professional Details" menu on left hand side
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These compliance settings allow you to set disclosures and disclaimers that follow all your content on the Harvest Exchange platform. This is where you can designate a compliance officer or admin to have full control of approving or denying content that is published by your employees.

Below are examples of how your disclosures and disclaimers will look on Harvest Exchange:

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Compliance Approval Process

  1. One of your employees posts content
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  2. He/She is notified that the content is sent to compliance for approval
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  3. An email is sent to a compliance officer/manager that you designate. He/She can quickly view the content in queue and approve or deny it from getting published.
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