Compliance for
the Engagement Engine
Habits is SOC 2 Type II certified, with no data sharing, CRM integration, or special approval required.
How the Engagement Engine Works With Compliance
The Engagement Engine gives you research and outreach ideas you review and control, without requiring CRM integration, data sharing, or special approval.
No Data Sharing
You don't upload your client list or connect your contacts. The Engagement Engine uses public, licensed, and proprietary marketplace data to research the people and companies you search for.
No CRM Integration
The Engagement Engine doesn't connect to your CRM or firm systems. There's nothing to sync, install, or configure, so you can get started right away without changing your existing setup.
No Apps to Approve
You decide what to use, make any changes, and send the message yourself. You already had access to this type of research. The Engagement Engine just helps you do it faster, with better sources.
SOC 2 Type II
Certified
Habits has achieved SOC 2 Type II certification through an extensive, independent audit conducted with Delve. The audit reviewed our security controls, data handling practices, and operational processes to verify that we have the right safeguards in place to protect customer information.
Security
Systems are protected against unauthorized access, both physical and logical. Our controls cover access management, encryption, network security, and incident response.
Availability
The platform is available for operation and use as agreed. We maintain uptime commitments and monitor system performance continuously to ensure advisors and consumers have reliable access.
Confidentiality
Information designated as confidential is protected as committed. This includes advisor data, consumer data, and any financial information processed through the platform.
How We Handle Your Data
Consumer and advisor data is stored, processed, and protected in accordance with our SOC 2 Type II certified security controls and applicable privacy law.
Data Storage
All consumer and advisor data is stored on encrypted, access-controlled infrastructure. Data at rest is encrypted using AES-256. We do not store financial account data or investment portfolios on our platform, ever.
Data Processing
Data is processed to generate the research and outreach content the Engagement Engine provides. We never sell your or your prospects' data. Nothing is sent on your behalf without review and approval.
Access Controls
Platform access is controlled through role-based permissions, so users see information relevant to their role. You see your research and message history, while internal access to user data is limited, logged, monitored.
Incident Response
We maintain a formal incident response plan that is tested and reviewed regularly as part of our SOC 2 obligations. In the event of a data incident, affected parties are notified in accordance with applicable law.
Third-Party Vendors
We vet and contractually bind all third-party service providers who handle Habits data to equivalent security standards. This includes our payment processor, background check provider, and cloud infrastructure partners.
Privacy Policy
Our full Privacy Policy details what data we collect, how it’s used, how long it’s retained, and how users can request deletion or correction. The Privacy Policy is accessible from every page of the platform.
Disclaimers
The following disclosures are required by applicable regulation and are provided for full transparency to platform users and their compliance departments.
Habits, Inc. provides the Engagement Engine, a research and outreach-preparation tool for financial professionals. The Engagement Engine aggregates publicly available information to help a financial professional prepare for conversations with audiences, companies, and individuals they already work with or are considering reaching out to.
Content generated by the Engagement Engine, including briefs, research summaries, and suggested outreach, is for informational purposes only and does not constitute investment, legal, or compliance advice. Every output requires the financial professional’s own review, judgment, and firm compliance approval before use.
Third-party links and sources referenced in a brief are provided for convenience only. Habits, Inc. does not recommend or endorse the contents of any third-party site and is not responsible for the accuracy, legality, or content of any third-party source.
The Engagement Engine surfaces publicly available news, filings, and social media activity to inform a brief. Habits, Inc. does not independently verify the accuracy or completeness of this third-party content and is not responsible for errors or omissions in the underlying sources.
Habits, Inc. does not accept compensation from, and has no financial relationship with, any company, person, or audience referenced in a brief. Access to the Engagement Engine is sold directly to the financial professional as a software subscription, not paid for by the subjects of any research.
Habits, Inc. does not provide and does not intend to provide investment or legal advice through the Engagement Engine. Information surfaced by the product is for informational and educational purposes only. Third-party links and resources are provided for convenience and have not been independently verified by Habits, Inc.
Habits, Inc. is not responsible for the accuracy or viability of information or services offered through third parties. Inclusion of a link to third-party content is not an endorsement by Habits, Inc. of such content. Use your discretion. Habits, Inc. does not manage client funds, hold custody of assets, or act on a financial professional’s behalf — the Engagement Engine is a research tool the professional remains fully responsible for using in compliance with their own firm’s policies.
Questions? We've got answers.
Answers to the questions we hear most from compliance departments.
Need more detail? Contact us and we’ll walk through your specific requirements.
Yes. Habits has achieved SOC 2 Type II certification through an extensive, independent audit conducted with Delve. The audit reviewed our security controls, data handling practices, and operational processes.
No. You don't upload your client list or connect your existing contacts. The Engagement Engine uses public, licensed, and proprietary data to research the people and companies you search for.
No. The Engagement Engine doesn't connect to your CRM or firm systems. There's nothing to sync or transfer, so you can use it without changing your existing setup.
The Engagement Engine is designed to fit within existing compliance processes, and we've received approval from firms including LPL, Prudential, and Osaic. Your firm's requirements may vary, so we can provide the information your compliance team needs to review the platform.
You do. The Engagement Engine provides research, talking points, and draft outreach for you to review and edit. Nothing is sent to a prospect or client automatically.
Ready to run
your first brief?
No data sharing, no CRM integration, no special approval needed. Try the demo yourself, or get started today.