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Training Manual Archives-Worldox GX4:: Professional - Compliance

1. Purpose and Fundamentals

1.1. Introduction to Compliance Training

The purpose of this session is to provide you with the necessary tools for complying with the FINRA compliance requirements. 

For further details on these requirements, please see:  Compliance Documentation from Trumpet
and FINRA Regulations


1.2. Upfront Decision Making

You should have received the Compliance Punch List prior to your training session.  This Punch list provides you with the opportunity to determine which documents you would like to write to the non-rewritable media.  For your reference, here is a link to this particular Punch List: Compliance Punch List


2. Non Rewritable Media - Preparation Steps

2.1. Create a Compliance Search Template

Our first step is to create search templates so that you are able to quickly and easily find the documents.  To do this, we will create a Find Template.

Open a search card

Fill in the criteria you wish to use in the template

Select Options -> Save Template

The "Save Find Template" window will open

Complete this information as follows:

  • Name of Find Template = Compliance Search
  • On Selection = Show Template
  • Save Template for = Everyone

Select "Save"

IMPORTANT:  When prompted to "Save Find Template" ensure that you select the "Save as new public template" radio button.

Select "OK"


2.2. Create a Bookmark referencing the Compliance Template

In order to make the "Compliance Search Template" easily accessible we will create a button bar button referencing the Compliance Search Template.

Right click in the Bookmark area and choose "Create"

In the "Bookmarks > Create" window, select "Search"

Select OK.

In the New Bookmark: Search window, find the "Compliance Search" template

and double click.

Complete the Bookmarks > Create window as follows:

On Selection = Show Template
Bookmark Name = Compliance Search
Check the "Pin to Button Bar" check box
Save Bookmark for: "Everyone"




2.3. Create a Compliance Header Template

Next, we will create a column header template including all the pertinent information about the documents and associate this bookmark with the Compliance Search Button.

Adjust the columns so that the following are showing:

  • Description
  • Doc ID  (very important)
  • Cabinet name
  • Field 1 description
  • Field 2 description
  • Field 3 description
  • Field 4 description
  • Field 5 description
  • Field 6 description
  • Field 7 description
  • Date created
  • Date modified
Right click in the column header area and choose "Save Column Template"
In the Save Column Template window select the "Associate with this type of list:  Find Template:  Compliance Search Radio button
Select "Everyone"
Select "OK"

3. Non Rewritable Media - Send Documents to the Local Disk

3.1. Perform Compliance Search

Now we are ready to perform the necessary searches that you will use on a monthly basis to burn your documents to Write Once Read Many (WORM) media.
Select the Compliance search button
Note:  If you do not have this button, refer to the section, Create a Compliance Search Template
Update the "Date Modified" to include the date range since the last time the archive operation was performed
Select "Search"



3.2. Send Documents to Compliance Archive Folder

Now you are ready to send the documents to folder on your local workstation so they can be written to the media.

In the search results window, type Ctrl+A to select all documents in the list
Right-click on any file in the search results screen and select Send To > Compliance Archive
Note the number of files checked as indicated In the Worldox – Clarify Selection window
Select "Continue"
Worldox will place a copy of the selected documents into the C:\TEMP\ARCHIVE folder
When finished, select OK

IMPORTANT:  If you have more than one compliance search, remember to repeat this step for each compliance search (e.g., Compliance 1, Compliance 2, etc.).


3.3. Export an Index List for Compliance Archive Files

Next, we will export an index of your files so that you can be certain which files pertain to which clients during an audit situation.
From the main menu, select List > Print
Change the "Save In" folder to C:\temp\archive
Type in the filename "Compliance Report for MM-DD-YY to MM-DD-YY" and select "Save"
Select "Explore Target Folder" and click "OK."  This will open the Archive folder in Windows Explorer
Locate and open the index file you just created to ensure the report is correct

TIP: From the main menu of Excel, select Format > Columns > AutoFit Selection to resize the columns to fit the data.

Save and close the file

3.4. Create an Encrypted Zip File

Now we are ready to burn the files from your C:\Temp\Archive folder to CD / DVD
Select all files (Ctrl+A) in the C:\Temp\Archive folder, including the Index file
Right-click and select WinZip > Add to Zip file...
Enter the name of the archive file "Compliance Report xx-xx-xx" where the X's are replaced with the dates you are working with
Check the box to "Encrypt added files"
Click the "Add" button
A message may appear regarding various encryption methods available.  Click "OK" to the message
Enter, and re-enter the password
Select "256 Bit Encryption"

IMPORTANT: It is critical that you use the password that your firm has agreed to for archiving compliance documents.

Click "OK" to add the files to the new zip file and close WinZip
The Zip file is now ready to burn to a CD/DVD


4. Non Rewritable Media - Burn the Zip File to Non-Rewritable Media

4.1. Burn the Zip File to CD/DVD

Confirm the CD/DVD is not rewritable so it will be read-only when done
In Windows Explorer, navigate to C:\Temp\Archive
Insert a blank CD/DVD into the burner drive
Right click on the Zip file, Send To->CD Drive
Open My Computer.  Right-click on the CD/DVD drive and select "Write these files to CD"
Follow the on-screen instructions to burn the CD/DVD
Name the CD/DVD "Compliance Report xx-xx-xx" where the x's are replaced with the dates you are working with

4.2. Update Compliance Log

Update your compliance log to indicate that you performed this activity
We recommend you include the following information:
  • Date range of records stored
  • Name of person who recorded media
  • Location of on-site media
  • Location of off-site media
  • Data verified
  • Notes
Be sure your firm captures the password and any password changes

4.3. Verify the Zip Contents on the CD/DVD

Insert the CD/DVD
Double click on the zip file (it should open in WinZip)
In WinZip, click Action > Test
Type in the password, then click "OK"

IMPORTANT:   If you are not prompted for a password at this point, the data on the CD/DVD is not encrypted.  If this happens, you should destroy the CD/DVD and repeat this entire procedure, taking care to specify encryption when you create the Zip file.

A 'View Last Output' dialog will appear.  Confirm that no errors are detected
Repeat the following steps to burn a second CD:  Burn the Zip File to CD / DVD
Why?  Trumpet recommends that you keep on CD/DVD on site, and a second off site in a fire proof safe

4.4. Label & Store CD/DVDs

Using a fine-tip Sharpie style marker, label the CD/DVD with the following text:

Compliance Archive YYYYMMDD - YYYYMMDD

Store one copy of the CD/DVD on-site and the other off-site
Tip:  Do not place a label on CD's

5. Non Rewritable Media - Clean Up

5.1. Clear the Contents of the Archive Folder

  • Click on the Compliance Archive folder search results tab in Worldox
  • Confirm that the contents of your Archive folder appear
  • Select all files (Ctrl+A)
  • Delete all of the documents in the Archive folder by hitting the delete key on your keyboard
  • When asked if you would like to delete the number of files checked, select "Continue," then "Yes" to confirm deletion

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