Previously on the Platinum interface, tracking numbers were provided on each content item. Moving forward in FMG Suite, there will not be individual tracking numbers for each content item.* Read on for information on how compliance works with each content type.
*The only item you will see a tracking number for is the Weekly Market Insights (WMI). You will be provided with a tracking number via a pop-up message when using the item.
Web Content Has Been Pre-Approved By Compliance
Web content available through the Content Library has already been approved by your broker-dealer and is available for use.
Emails and Social Post Content Will Need to Be Submitted to Compliance
With LPL Financial, you have self-managed compliance. When you "Publish" an update to your website, you will see that update listed in the "Compliance" section of your admin, ready to be reviewed and approved. Until that update is approved, your changes will not be reflected on your live site. To get those changes approved and live on your site, first, navigate to the Compliance page by clicking "Compliance" in the top menu bar:
To manage your compliance cases:
For each compliance item, you have the option to click "View" to view the item, click "Download" to save a PDF documenting only that update, or click "Download All" to save a PDF showing all pending updates.
Submit your documentation to your compliance department.
If any changes are requested by compliance, you can click "Edit" on the pending item. You will be directed to the item to complete those changes, and then you will be able to re-submit your updates to compliance.
Once approved by compliance, you can "Approve" your pending updates.
Compliance History: By click on "Compliance History" you can then see a full list of approved compliance items.
Archives: This contains archives of your FMG Suite website at historical points in time and also allows you to request an archive be generated of the current state of your website.
Content available in the Downloadables section will need to be submitted to your compliance department before use.
If you are in need of a tracking number for pre-approved items, please reach to your Marketing Specialist.