Workflow Automation

Aug 3rd '22

How much time do you spend searching in folders for the correct logo, image or brochure?


Streamline management, approval, compliance and storage of your marketing campaigns, digital media, sales presentations, RFPs and financial promotions.


Using a marketing automation tool that improves the efficiency of your processes – from creative briefing, artwork and document creation, review and approval of marketing collateral, to publishing and archiving of approved content. By connecting your Marketing, PR, Sales and Compliance teams, improves collaboration and brand consistency.


  • Complex to simple 

Consider centralising. Simplify complex processes of creating, storing and distributing marketing campaigns into easy-to-follow tasks with assigned responsibilities, deadlines and associated files for review. Forget unnecessary communications or missed deadlines. Stay on top of workload with automated email alerts and dashboard reminders when your contribution is required


  • Financial Services

Financial Services firms struggle to capture and retain all of the financial promotions they publish across the web – all of which need to be recorded to meet Financial Conduct Authority (FCA), US Securities and Exchange Commission (SEC), Financial Industry Regulatory Authority (FINRA) and Markets in Financial Instruments Directive (MiFID II) record-keeping requirements. With many firms turning to ineffective manual processes such as taking manual screenshots of promotions, the risk of non-compliance continues to increase as compliant storage and retention rules aren’t met.


  • COBS 4.2.1 – Financial Promotions Compliance

A firm must ensure that a communication or a financial promotion is fair, clear and not misleading.

  • SYSC 10A.1.6 – Electronic Communications Record-Keeping

A firm must take all reasonable steps to record telephone conversations, and keep a copy of electronic communications, that relate to the activities in financial instruments referred to in SYSC 10A.1.1R(2) (and that are not excluded by SYSC 10A.1.4R).


  • MiFID II Article 16 (3) – Financial Promotion Approvals

An investment firm that manufactures financial instruments for sale to clients shall maintain, operate and review a process for the approval of each financial instrument and significant adaptations of existing financial instruments before it is marketed or distributed to clients.


  • MiFID II Article 16 (6) – Record-Keeping Requirements

An investment firm shall arrange for records to be kept of all services, activities and transactions undertaken by it which shall be sufficient to enable the competent authority to fulfill its supervisory tasks and to perform the enforcement actions under this Directive.


  •  MiFID II Article 16 (11) – Regulatory Access

In the case of investment firms, the competent authority of the Member State (in which the branch is located shall), without prejudice to the possibility of the competent authority of the home Member State of the investment firm to have direct access to those records.


  • PERG 8.22.1 – The Internet & Financial Promotions

The Internet is a unique medium for communicating financial promotions as it provides easy access to a very wide audience. At the same time, it provides very little control over who is able to access the financial promotion.

  • PERG 8.22.2 – Capturing Financial Promotions

If a website or part of a website, operated or maintained in the course of business, invites or induces a person to engage in investment activity or to engage in claims management activity, it will be a financial promotion.


  • FINRA 2210 (4) – Record-Keeping for Communications

Members must maintain all retail communications and institutional communications for the retention period required by SEC Rule 17a-4(b) and in a format and media that comply with SEC Rule 17a-4.


If your business is regulated, or you’re looking to improve corporate governance and brand consistency, we could assist you in finding the best management and approval process tool for your business needs.


Why it should be your choice?


  • Saves time

Automate processes, reduces administration, saves time and money and helps get your collateral to market quicker.


  • Reduces risk

By making each sign-off process efficient, transparent and controlled, will enforce your approval procedures, reducing the risk of breaching internal rules and external regulations.


  • Cut down your print cost

Briefing, proofing, producing and distributing printed items takes time, effort and money. But people make mistakes, errors happen, deadlines are missed, stock is shipped to the wrong address – all costing even more resource. Automate your print procurement and fulfilment by managing it quicker, with less interactions, resources and mistakes – ultimately reducing costs.


About us

LS Consultancy are experts in Compliance, and work with a range of firms to assist with improving their documents, processes and systems to help mitigate risk.


Our range of innovative solutions can be tailored to suit your unique requirements, no matter whether you’re currently working from home, or are continuing to go into the office. Our services can be deployed individually or combined to form a broader solution to release your energies and focus on your clients.


Contact us today for a chat or send us an email to find out how we can support you in meeting your current and future compliance challenges with confidence.


Explore our full range today.


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