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AI agent for compliance analysts

Annual Disclosure Delivery Agent

Deliver required notices to every client on time and keep proof for the record

ComplianceAdministrationFinanceOperations
See how it worksGet access
Annual Disclosure Delivery Agent: what goes in, what the agent does and what you get

What it does

Every year the firm must deliver its disclosure brochure and privacy notice to each client and keep proof, and the list is never quite right. This agent lists every client due a document and checks each has a valid delivery method, email or mail. It sends the documents in batches, tracks delivery and opens, and notes bounces and returned mail. For any that fail, it resends by another method, such as mailing a paper copy. It checks that every client has proof of delivery logged and chases any missing one. It keeps a log per client with date and method. Compliance approves the final record. Edge case: a client who opted for paper only is never sent email.

How it works

Follow the arrows from top to bottom. The orange dashed arrow is the loop: when a check fails, the agent goes back and tries again.

Start and resultWhat it doesA check on its own workWaits for your OKGoes back and retries
Yes, continueApprovedYes, continueApprovedNoNo 1 STARTS WHEN Annual delivery window opens 2 USES A TOOL List clients due documents and their deliverymethods 3 CHECKS THE RESULT Does every client have a valid email or mailingaddress? If not: Flag the client and ask the advisor for acorrected address. Back to step 2. 4 YOU APPROVE Compliance approves the documents and the batch 5 USES A TOOL Send the documents and record delivery 6 USES A TOOL Track opens, bounces and returned mail 7 CHECKS THE RESULT Does every client have proof of delivery? If not: Resend by another method and recheck in 5 days.Back to step 5. 8 DOES Chase advisors for clients still without proof 9 DOES Compile the delivery log 10 YOU APPROVE Compliance approves the final record 11 RESULT Delivery record with proof per client
Read the steps as a list
  1. Annual delivery window opens
  2. List clients due documents and their delivery methods
  3. Does every client have a valid email or mailing address?If not: Flag the client and ask the advisor for a corrected address. Back to step 2.
  4. Compliance approves the documents and the batchThe agent waits here for your OK.
  5. Send the documents and record delivery
  6. Track opens, bounces and returned mail
  7. Does every client have proof of delivery?If not: Resend by another method and recheck in 5 days. Back to step 5.
  8. Chase advisors for clients still without proof
  9. Compile the delivery log
  10. Compliance approves the final recordThe agent waits here for your OK.
  11. Delivery record with proof per client

How it decides

It treats a client as complete only with a logged proof of delivery. Failed deliveries are retried by a different method within 5 days.

  • Never send email to a client who chose paper
  • Retry failed deliveries by another method within 5 days
  • Require logged proof for every client
  • Escalate clients without proof 30 days before the deadline

Make it yours

Every agent is a starting point. You choose these settings for your own situation.

  • Delivery methods (default email then mail)
  • Retry window (default 5 days)
  • Escalation date (default 30 days before deadline)
  • Batch size (default 200)

What keeps you in control

It always asks you first

  • Compliance approves the documents and each batch
  • Compliance approves the final record

Hard limits

  • Never send documents without compliance approval
  • Never alter the log after approval
  • Respect each client's delivery preference

It stops when

  • Done: Every client has proof of delivery
  • Stop: Documents change mid-cycle, so hand to compliance

Set it up

We guide you through the set-up, step by step

Members get the full set-up guide for this agent. No technical skills needed: you copy, paste and upload.

10 minto set it up in your AI
5 AIsChatGPT, Claude, Copilot, Gemini, Grok
  • One set of instructions to paste into your AI, with the clicks for ChatGPT, Claude, Microsoft 365 Copilot, Gemini and Grok
  • The agent then walks you through connecting your own data, one source at a time
  • A downloadable copy with the flow chart, the rules and the full guide
Get access to this agent

An example run

What happensThe agent lists 1,240 clients. 38 lack a valid email, and advisors fix 31. The first send shows 1,190 delivered and 50 bounced. It mails paper to 50. After 5 days, 4 clients have no proof, so it asks their advisors. At the deadline 1,240 of 1,240 have proof. Compliance approves the record.

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