Compliance Review for the Monthly Broadridge Newsletter

This article explains how the compliance review process works for the Monthly Broadridge Newsletter. Please use this as a reference guide to ensure timely approvals and smooth distribution.
 

Article Publication & Compliance Review

• When articles are published, they automatically enter the compliance review process.
• You can easily locate these articles in the Library by selecting Monthly Newsletter.
  
  
• Content intended to be included in the Monthly eNewsletter includes a Monthly Newsletter label.
  
• The content for the monthly newsletter is added on the 15th of each month.
• Each article included in the monthly newsletter must be reviewed and either approved or rejected.

Trigger for Newsletter Distribution

•  The newsletter will only be released for distribution if all four required articles are approved.
•  If even one article is still pending review or approval, the newsletter will not move forward.

10-Day Lookback Window

• All content should be reviewed and approved as soon as possible after publication. If immediate approvals are not completed, a 10‑day lookback window begins on the date the first article is published.
• Content is published on the 15th of each month, add a reminder to your calendar to login and promptly review.
• During this 10‑day period, compliance must finalize all outstanding reviews and approvals. 
• After the 10‑day lookback window closes, the content is considered stale, and the monthly newsletter is no longer eligible for distribution that month. In such cases, distribution will be deferred until the following month’s newsletter cycle.
   

• Each Monthly Newsletter includes an approved Intro Note written by the advisor, which appears as the main body of the Newsletter. 
• To review an Intro Notes, navigate to your Supervised Users.
• Then check the "Pending Intro Notes" box

• Once approved, the same intro note will be used each month unless the advisor makes updates. If changes are made, the revised version must be resubmitted to Compliance for re‑approval before it can be included in future Automations.

   

Custom Subject Line (Advisor Selection)

• Advisors under a Supervised workflow cannot add a Custom Subject Line, you can only use an approved Intro Note.

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Key Takeaways for Compliance Officers

• Act promptly: Review newly published articles as soon as they go live. Ensure that you also approve introductory notes for Supervised Users so Advisors always have pre-approved content options when building their newsletters.
• Monitor review timelines: Keep in mind the 10-day window for completing all article reviews and.
• Understand distribution requirements: Newsletters will not be sent unless all four selected articles are reviewed and approved within the designated timeframe.
• Set a reminder: Since new content is published on the 15th of each month, schedule a recurring reminder to log in and complete your reviews promptly.
• Action Required: Please set up reminders to review Broadridge newsletter articles regularly after publication to avoid disruptions in the distribution schedule.