Compliance Checks and Workflows
Sleep better at night knowing that sales material conform to your compliance needs.
  • Automatic verification that a current GIPS® compliant slide is included in every sales presentation.
  • Our slide-scan feature ensures that mandatory disclosures are included in slides.
  • Workflows to approve sales content – make sure only compliance-approved content is used.
Relax knowing Assette checks your sales presentations for GIPS and SEC requirements.

Never distribute sales material without an up-to-date GIPS® slide again!
GIPS® compliance is a must-have for marketing purposes. Even regulators are paying close attention to the details of your GIPS® materials and procedures. You need to make sure all marketing material satisfies GIPS® and its regulators.

Assette ensures that all your sales presentations contain GIPS® information. If there is no GIPS® slide, we automatically watermark the presentation “For Internal Use Only” — an important safeguard that prevents distribution of noncompliant presentations and helps you avoid regulatory problems.

Assette also verifies that the GIPS® slide is up-to-date. At a minimum, it has to be dated for the latest year-end. Of course, Assette’s automated update feature can keep your GIPS® material current during the year — even quarterly, if you wish.
Ensure that sales books have mandatory disclosures
In Assette, you can link disclosures to specific content such as performance and attribution. Select disclosures from our pre-populated library or create your own.

When you publish a presentation, the system verifies that these required disclosures are present.

If disclosures reference a specific slide number — i.e. the GIPS® compliant presentation slide — the slide number referenced in the disclosures is automatically updated when other slides are added or removed from the presentation.
All sales material must be approved by Compliance
You can require all sales content to be approved by compliance prior to presenting to prospective clients. If there are deficiencies, send back comments to the author for correcting and re-submission to compliance.

Materials are automatically created in PowerPoint, the tool your marketing staff already uses to create content. No additional expertise is needed to seek compliance approval.

While the compliance review is in progress, marketing staff can still generate sales books for internal review, so the compliance process doesn’t hold up fine tuning your marketing content.