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Creating Compliant Content 

Affiliates

Appointed Representatives

Content creator creating a range or marketing materials

How Principal Firms Can Help Their Appointed Representatives or Affiliates 

Reducing the compliance burden

Content creator feeling frustrated because of the challenges of dealing with content compliance

We understand that content compliance often places a significant overhead on content creators

We know that people creating content for appointed representatives or affiliates often get very frustrated by the:

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  • Challenge of understanding what is needed for their content to be compliant

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  • Time taken to find and then add the required compliance wording - such as disclaimers and risk warnings - into their content

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  • Number of times that their content fails the approval process and has to be re-worked

And we know that these content creators feel that:

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  • Compliance related tasks take up too much of their time

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  • Their content can take a long time complete the approval process … often resulting in:

    • Missed deadlines

    • Lost opportunities

The above can have a significant negative impact on:

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  • The content creators

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  • The companies that the creators work for ... the appointed representatives or affiliates

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  • The principal firm

The good news ... it doesn't have to be that way!

What is easily possible for the AR's or Affiliate's content creators

Even for content that is subject to complex regulatory requirements, it is easily possible to achieve a position where content creators are able to:

 

  • Update their content to meet all compliance requirements in less than 10 minutes … probably, in less than 5 minutes

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  • Get more than 90% of their content approved 1st time around

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  • Cut overall approval times down to 1 or 2 days

Overall Workload

30% to 60% reduction in compliance related workload

Free up time to be spent on more valuable and more enjoyable activities.

How Principal Firms benefit from helping AR or Affiliate content creators

Helping the AR's or Affiliate's content creators, is likely to deliver several benefits for the principal firm.

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These include:

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  • ​Increasing the % of content that can be approved 1st time ... with a 1st time approval rate of more than 90% being possible

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  • More than 95% of content that does not get approved 1st time around, being approved 2nd time around 

1st Time Approval

> 90%

The above will:

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  • Cut content approval workload

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  • Reduce the overall elapsed time taken to complete the approval process

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  • Improve the level of service provided to the ARs and affiliates

7 Key Solutions ... What AR and Affiliate content creators need 

Diagram showing the 7 Key Solutions and highlighting the most important for Content Creators
To achieve the most efficient way of creating content that is compliant, creators need all of the 7 key solutions to be in place.​

We have a detailed guide to each of the 7 key solutions.

The 2 most important solutions for AR and Affiliate content creators

As per the diagram above, 2 of the solutions will provide the biggest benefits for AR and affiliate content creators:
 

  • A compliance briefing

  • ​A compliance checking system

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See below for an overview of each of these.

Compliance Briefing

A Compliance Briefing will normally provide the biggest benefits for content creators

A good briefing defines everything that is needed for any content to be compliant.

 

This includes:

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  • Providing the specific wording to be used in the content – including disclaimers / disclosures, warnings and footnotes

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  • Guidance about where wording should be located and how it should be displayed

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  • Guidance covering all other compliance requirements – including aspects such as tone of voice, readability and use of jargon or abbreviations

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Effective & Efficient Compliance Management
Compliance Briefing

Benefits for ARs and Affiliates

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Compliance briefings help content creators by significantly cutting the:

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  • Time needed to add the compliance wording into their content

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  • Approval failure rate ... by enabling a 1st time approval rate of more than 95%

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  • Overall time needed to get content approved and available for use

 

Just using compliance briefings will typically reduce overall compliance related workload by between 40% and 70%.

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Benefits for Principal Firms

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Providing ARs and affiliates with compliance briefings also provides key benefits for the principal firm's approval team. This includes:

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  • Providing a "compliance checklist" that the approver can use when completing their review​

  • Reduced workload because content submitted for approval should be fully compliant and able to be approved 1st time around 

Note. Compliance briefings:

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  • Are built using the principal firm's compliance rules and wording

  • Can cater for:

    •  Standard compliance requirements that apply to all content 

    • Content specific requirements e.g. different regulations or audience type or product type

Find out about our Compliance Briefing Service

An on-demand service that produces a content specific "compliance briefing" that provides everything needed to ensure that any content or material is compliant.

Graphic depicting the Compliance Briefing Service

Compliance Checking System

A good Compliance Checking System will help content creators make sure that their content is compliant before sending it to the principal firm for review / approval.

A good compliance checking system will:

 

  • Identify any regulatory risks or issues in the content

  • Explain the reason for the risk or issue being flagged

  • Explain what changes (if any) should be made to the content

 

When considering any compliance checking system, important factors to take into account include:

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  • How easy or difficult it is for the principal firm to set-up and manage the checks (especially important if multiple regulations are involved)

  • What content formats are supported

  • Which types of checks the system is able to do

  • Cost (of course!)

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Effective & Efficient Compliance Management
Compliance Checking System

The right compliance checking system can help content creators to check their content against the principal firm's compliance rules and wording requirements.

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Benefits for ARs and Affiliates

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By checking their content before submission to the principal firm, creators are maximising the chances of their content being approved 1st time.

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This can have a very significant positive impact on the content creators because it reduces re-work and shortens the overall elapsed time needed to get the content approved and available for use.

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Benefits for Principal Firms

 

Providing ARs and affiliates with a good content checking system also provides key benefits for the principal firm's approval team. This includes:

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  • Significantly cutting the time needed to:

    • Check any content item

    • Provide feedback to the content creator

  • Automatically providing an audit trail and version management​

We do not provide any compliance checking system but, can help you select the best one for you. If this is of interest, check out this service

Find out more about how we can help Principal Firms to help AR and Affiliate creators

For any of the following, please contact us:

  • To get an example "compliance briefing"

  • To get an example of an Opportunity Assessment or Health Check report

  • To arrange a demonstration of the Compliance Briefing Service

  • Anything else!

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