Compliance: Pre-Review, Pre-Approve, and Reject Content

To make the compliance approval process more streamlined for our RIA clients and their broker dealers, Levitate now offers two options for reviewing, approving, and rejecting content that is in Levitate's content library.

Who can review, approve, and reject content?

There are two ways in which content can be examined.

1. Broker Dealer's on Levitate— now, if a Broker Dealer has multiple RIAs using Levitate, the Broker Dealer can access Levitate and its library in order to review, approve, or reject content in Levitate's library
2. Super Admins on an RIA account— if an RIA has an internal user, or someone they can connect to Levitate, to review, approve, and reject, that user can be made into a Super Admin to access the ability to mark content as Reviewed, Approved, or Rejected

What will this look like for a regular Levitate user?

For the standard Levitate user, not a lot will change. Only Approved or Pre-Reviewed pieces will show and be noted as such. The campaign view will look like this:

If a piece has been rejected by a Broker Dealer or Super Admin, it will not show at all to the end user.

What does it look like for a Broker Dealer or Super Admin?

The flow here will look a little different for Broker Dealers and Super Admins as compared to a normal Levitate user.

The Broker Dealer or Super Admin will see the content library, as usual, with an added button that allows for content review. When clicking in, there will also be a flow just for Broker Dealers and/or Super Admins that will allow them to mark the content either Pre-Reviewed, Approved, or Rejected.

Here's what the campaign library will look like:

And this is what it will look like, template by template, for the Broker Dealer or Super Admin:

How do I reject a campaign?

You'll choose 'Reject Campaign' and then will need to provide a reason from the dropdown— Citations, Content, Images, or Other— and provide a note as to why it's not compliant. Levitate will receive these notes to better work with compliance guidelines and track rejection trends.

What happens when something is reviewed, approved, or rejected?

For reviewed or approved campaigns, the Broker Dealer or Super admin will see the green approved notation piece by piece in the campaign library:

For a rejected campaign, it will show as rejected to the Broker Dealer or Super admin:

Will this replace Levitate's normal compliance flow?

No— for the time being, all campaigns sent through Levitate will still need to be filtered through your normal compliance flow unless your Broker Dealer and/or Super Admin has approved to send out approved content directly through Levitate. Consult your Broker Dealer or Compliance User to get steps on what to do!

This is an optional feature that allows Broker Dealers or an internal compliance user streamline the review, approval, and rejection processes. There is no requirement that the feature be turned on, or that the standard compliance flow of sending a PDF copy of a campaign be turned off. Your Broker Dealer or internal Compliance User will be the source of process for getting compliance approval on content you send out through Levitate.

Want to use this feature?

Reach out directly to your Success Specialist to get the feature enabled and set up based on your specifications!