For firms with self-managed compliance (typically RIAs). If your firm's compliance is handled by your broker-dealer's home office instead, see Home-Office Managed Compliance instead — you won't have a Compliance Hub tab.

• Q: Do you have examples of written documentation we can use regarding our company's testimonial policy?
• Q: How do I approve content in the platform?
• Q: Can I change the default approval criteria?
• Q: Can I change the default privacy policy?
• Q: Can I control which disclosures will accompany testimonials on our website?
• Q: What do I do if I receive testimonials that are inappropriate for marketing?
• Q: Do I need to write my own disclosures or privacy policy?