Compliance information

If you need to get technology solutions approved by your broker-dealer, email us at info@knudge.com, and we'll let you know if your broker-dealer has already approved Knudge for your firm.  If we aren't yet approved, we'll be happy to work with your compliance to get Knudge approved. 

Here are some specifics that have helped others better understand how Knudge is compliant:

• Knudge archives all communications sent via the platform to comply with SEC Rule 17a-4, CFTC Rule 1.31, & FINRA. All advisor-client communications are securely maintained for a minimum of 7 years. We have built-in controls to ensure that data is held redundantly and for the minimum time specified.
• Knudge allows firms to specify an email address (or multiple email addresses) that can receive a copy of all communications sent to or from the Knudge app - including communications sent via SMS so that firms can have their own archival record as well.
• Knudge does not enable two way text communication, it can send notifications or reminders via text if recipients opt in. The recipient has to click on a link in the text notifications to view the details of a nudge and we do not allow for replies via text. All text messages reference nudges and all nudges can have disclosures attached if disclosures are entered in company settings.  Disclosures are also attached to all email communications if entered in company settings.

Here are links to some other resources on our website:

Terms of Service
Privacy Policy
Security Assessments and Compliance

If your compliance team would like to reach out to us directly, they can contact Jay DeVivo at jay.devivo@knudge.com, and he will get them what they need.