Compliance Review for Email Campaigns
Email campaign compliance ensures all communications meet regulatory standards before reaching your audience.
How Email Compliance Works
When advisors create email campaigns that require compliance approval, the system automatically routes them for review instead of sending or scheduling immediately. This process applies to both individual campaigns and drip campaigns.
Key Features:
- Automated email notifications to compliance officers
- Detailed content review interface with full email preview
- License verification for sending advisors
- Approval or change request options
- Automated withdrawal for time-sensitive campaigns
Getting Compliance Notifications
Email Alerts
Compliance officers receive automatic email notifications when new submissions require review. These notifications include:
- Action Required Subject Line: "Please review submission for [user]"
- Direct Access Link: Click the review button to go straight to the submission
- User Information: Clear identification of who submitted the content
Reviewing Email Campaigns
Individual Email Campaigns
When reviewing individual email campaigns, you'll see:
Campaign Information:
- Submitting advisor's name and licensing details
- Email subject line
- Scheduled send date and time
- Unique submission ID
Content Review:
- Full email preview with all formatting
- Clickable links to test functionality
- Complete disclosure information
- Personalization elements and branding
Scheduling Options:
Two types of submissions require different handling:
- Send Immediately Once Approved: Campaign sends as soon as you approve it, regardless of time or day
- Scheduled Campaigns: Campaign sends at the specified date and time, but only if approved before the deadline
Important: If a scheduled campaign isn't approved by its send date, it will be automatically withdrawn and the advisor will be notified.
Understanding Submission Statuses
- Under Review: Campaign is awaiting compliance approval
- Approved: Campaign approved and will send as scheduled
- Rejected: Campaign denied and removed from queue
- Withdrawn: Scheduled campaign wasn't approved by deadline
Review Actions
To Approve an Email:
- Review all content and disclosures
- Verify advisor licensing matches content requirements
- Click "Approve Email" if everything meets compliance standards
To Request Changes:
- Type your specific change requests in the feedback box
- Click "Request Changes" (this removes the approve option)
- Changes are routed to the account manager for implementation
- The original campaign will show as "Rejected" in reporting
Updated about 5 hours ago