Use Adobe Experience Manager to Automate Your Compliance Document Workflow

Laws dictate that appropriate disclosures must accompany financial product offerings regardless of the media upon which the offer is made, including web, mobile apps, or even printed material. The company’s legal compliance team faced a significant challenge in managing the many sources of disclosures from government agencies, industry boards, and commissions. The company’s compliance team had to conduct a review and approval process for each disclosure. In addition, they had to seek legal counsel and maintain an audit trail before pushing disclosures out to the associated business units. This review and approval process is followed by the company’s compliance team was entirely manual, prone to errors, and incredibly time-consuming. The company needed a robust and reliable solution that could: <ul><li>Provide a single source for all disclosures: The document copies were available locally, online, and in emails; they were revised at different times by different people. The company needed a single definitive source for all disclosures.</li> <li>Ensure documents were ready for publication: The company had no system to ensure if the documents undergoing editing were available for publication. Often the compliance team ended up publishing documents that combined ready-to-use with work-in-progress content. The company required a mechanism that published only the final versions.</li> <li>Keep apps in sync: When the compliance team made critical disclosure changes, the team needed to push the changes to all affected apps and microsites. The company needed a uniform way to publish disclosure changes to its omnichannel endpoints.</li> <li>Easily handle variation needs: Depending on the requirement, the compliance team had to translate the disclosure into another language. In other instances, the content needed to appear in an abbreviated form.</li> </ul> The company was looking for a partner who could provide consistent channel-agnostic content.