Case · Insurance
Compliance forms, filled in from the meeting itself
It arrives in the regulator’s format with missing fields flagged, and the advisor listens instead of taking notes.
- Client
- An insurance advisory practice
- Industry
- Insurance · Canada
- The work
- Meetings into a compliance record
- Transcribes the client meeting
- Fills the form in the regulator’s format and flags what’s missing
- Lists the action items
- Reviews, edits and approves the formthe advisor
Before
Where the time was going
Every meeting ended with a compliance-heavy form. Filling it from memory took time and lost the details that make the next conversation personal.
What was really going on
Compliance needed the form as it was. Some fields could be filled confidently from a transcript; others needed a flag or the advisor’s judgment.
How it runs today
- The systemTranscribes the client meeting
- The systemFills the form in the regulator’s format and flags what’s missing
- The systemLists the action items
- A personReviews, edits and approves the formthe advisor
After
What changed for the firm
Notes are more complete, no mandatory field is missed, and the advisor listens instead of writing.
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