If you have selected a Broker Dealer from our list of approved BDs in Step 1 of the Proven Process, this means that your website will be on a compliance workflow for that Broker Dealer. If you are an independent advisor or RIA, or if your Broker Dealer is not on our list of approved BD’s, your website will not be on a compliance workflow. Any updates made to a website without a compliance workflow will be published directly to the live website within 20-60 minutes.
What is a compliance workflow?
A compliance workflow is the process your Broker Dealer uses to review and approve content before it appears on your live website.
Once you submit content for review, your Broker Dealer’s designated Compliance Officer(s) will review the content and either approve it, or send it back to you with requested changes. You will receive an email notification when the content has been reviewed.
If the content has been approved, it will appear live on the website. If it requires changes, you will have to adjust the content and resubmit it before the Compliance Officer can review it again.
How do I know if my content has been reviewed?
There is a Compliance Review* page in your website dashboard to show you the status of all content you have submitted to compliance. You can go there by selecting My Content at the top of the left sidebar icons, and then Compliance Review at the bottom of the Content menu.
Once you are on the Compliance Review page, you will see a Task List and Activity Feed.
The Task List will display all pieces of content currently awaiting compliance review. If there is content in this list, it means that you are waiting on compliance to either approve or send it back and that you do not need to do anything else about it at this time. Once compliance reviews the content, you will receive an email notification.
The Activity Feed is a timeline of the compliance review process. This includes your submissions, any comments you include, the approval or send back from the compliance officer, and any comments they include.
When you submit content, you’ll see a corresponding record in the Activity Feed titled New items submitted for review with the submission date and your initials to indicate that it was submitted by you. This record will list all pieces of content submitted at that time.
If you wish to add a comment for the compliance officer with your submission, you can complete the Leave a Comment field at the top of the Activity Feed right after you submit the content. There is also an option to select the Related Item from the drop-down underneath this field if you wish to make a comment about one particular piece of content. Finally, make sure to click the Add Comment button to post your comment to the Activity Feed.
When a Compliance Officer reviews content, you’ll see a corresponding record in the Activity Feed titled New items reviewed by John Smith with John Smith being the Compliance Officer’s name in this example. You will also see the date and either Approved in green or Sent Back in red followed by a list of the pieces of content reviewed.
If the content is Sent Back, you can expect to see a corresponding record directly after the item(s) sent back titled John Smith left a comment with John Smith being the Compliance Officer’s name in this example. The comment will indicate what you need to adjust before resubmitting to compliance. If you do not see a comment from the Compliance Officer or are unsure of the instruction, we recommend reaching out to your Compliance Department for clarity before resubmitting the content.
How long does it take for my content to be reviewed?
This depends on your Broker Dealer’s compliance department workload and also on how much content you have submitted. If you are submitting your entire website for the first time, you can expect this to take longer than if you are submitting updates to a few pieces of content. On average, compliance review takes 5-10 business days.
If the review process is taking longer than you expected, or you want to know where your content is in the review process, we recommend reaching out to your Compliance Department for any details. Our team only has access to the same information that you have regarding compliance review.
* The Compliance Review page described in this section is only applicable on our Force platform.