Case · Lockstitch Financial
Client letters that reach compliance already checked
Each draft starts from the advisor’s notes and is screened against the firm’s rules, so review moves faster.
- Client
- Lockstitch Financial
- Industry
- Wealth advisory · Canada
- The work
- Compliance-reviewed writing
- Assembles a draft from advisor notes and approved language
- Screens it against the compliance rules and marks likely issues
- Reviews and approves itcompliance
- Formats it for email, the web and PDF
Before
Where the time was going
Each piece took an advisor hours to draft, waited on compliance, then was formatted by hand for email, web and print.
The queue set the pace, and the firm published far less than it had to say.
What was really going on
Drafting and formatting could move. Compliance needed a person, but could start from a draft already checked against the rules.
How it runs today
- The systemAssembles a draft from advisor notes and approved language
- The systemScreens it against the compliance rules and marks likely issues
- A personReviews and approves itcompliance
- The systemFormats it for email, the web and PDF
After
What changed for the firm
Drafts reach compliance with the likely issues marked, and each approved piece goes out in every format it needs.
More like this
- Reports and proposalsDrafts that arrive ready for review.
- Wealth advisory firmsReviews prepared and every client call on the record.
- The client review that prepares itselfQopia Financial
- Calls that file themselves to the right clienta wealth advisory firm
- Every client request, sorted and checked as it landsa wealth advisory firm
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