Financial Services · Compliance

Regulatory Disclosure Delivery & Acknowledgment

Deliver required regulatory disclosures and capture acknowledgment reliably.

Apps this needs

CRM Salesforce, HubSpot or your local CRM for leads & contacts. Connect during setup
Inbound Email Let the agent read and answer email enquiries. Connect during setup

How it works

  1. Sends the required disclosure to all affected clients per the regulatory trigger, via the CRM.
  2. Tracks acknowledgment/receipt where required and sends follow-up to those who haven't confirmed.
  3. Escalates any account that can't confirm receipt within the regulatory window to compliance.
  4. Maintains a complete audit trail of delivery and acknowledgment for regulatory examination purposes.

Data sources

CRM client list Regulatory disclosure requirements and deadlines

What it targets

  • Required disclosures delivered within the regulatory deadline Target 100%
  • Acknowledgment captured where required Target 95%