Compliance and regulated support

Use this before a reply, script, macro, or KB article goes out in a regulated segment: check it against the regimes in play and route what fails.

You need the draft to check, the regimes from prefs — securities rules such as FINRA or MiFID, PHI (protected health information), PCI card data, or others — and the approved language or disclosure source.

Name the regimes first

Decide which regimes touch this draft: money advice, health data, card data, or licensed claims. A draft outside every regime passes with a one-line note; a draft inside any regime gets the full check below.

Run the line-by-line check

• Required disclosures present, no promised returns or outcomes, no PHI or card data in the clear, claims match the approved source.
• Quote the failing line and the rule it breaks.
• Fix what a reword can fix and mark each change. Route what a reword cannot fix — missing license, barred claim, exposed sensitive data — to the compliance owner with a short packet.
• Never soften a required disclosure to sound friendlier.

Stamp and log

Stamp the result: pass, pass-with-edits, or blocked-with-owner. Blocked drafts never go to the customer before the compliance yes. Log the check on the case: regimes, verdict, and who approved. Offer to re-check the macro or knowledge-base (KB) source so the next use starts clean.

Deliver the verdict stamp, the marked-up draft or the compliance-owner packet, and the case log line.

What not to do

No regime list in prefs means you ask which regimes apply before stamping anything, and treat money, health, and card topics as regulated until told otherwise.