Scan-to-email allows you to scan client documents directly to your email as a PDF and is commonly used because it’s an efficient way to process physical documents. This requires that an email address be assigned to your office scanner, which must be Cetera-approved. We’ve identified from audits and normal supervisory duties that some technology support providers will set up printers/scanners with a personal email address (Gmail, Yahoo, etc.), not realizing that it’s against firm policy. Using a personal email address for business purposes is prohibited, including when used for your office scanner.
Why can’t Gmail (or other unapproved email addresses) be used with a scanner? The reason is due to privacy concerns related to Personal Identifiable Information (PII) in the client documents being scanned. For example, when you scan new account documents, the PDF of those documents is emailed from the email address assigned to your scanner. If an unapproved email address is used, that sensitive client information is now being sent from a personal (non-compliant) email address and is potentially accessible by an unapproved 3rd party (Google for example). Those emails may also be more susceptible to being accessed by bad actors. In addition, all business-related emails must be retained and reviewed in Cetera’s email retention system. If the scanner has a non-compliant email address, those emails are not being retained as required.
If you want to use the “scan-to-email” function compliantly, you may create a new Cetera-approved email address that you or your technology support professional can setup with your scanner.
· Cetera has advised that you may initiate the process of adding a new firm-approved email address by emailing Registrations@cetera.com. Note: If your email is not hosted by Cetera, you will also need to work with your email host to set up the email address.
· Alternatively, you may submit requests via AdviceWorks>Support Center>Technology Support>Email Support. However, Cetera’s current preference is to start with an email to Registrations@cetera.com or call at 800-929-3485, option 5.
What should be done if there is a personal, unapproved email account assigned to my office scanner? We recommend that you discontinue using the scan-to-email function immediately and find an alternative method until it is compliant. For example, you may scan documents directly to your work device/computer. Consult your technology support professional or feel free to contact the Prosperity Compliance Team with questions at compliance@prosperityadvisors.com or by phone 913-529-5500, option 2.
Internal Use Only