You are on page 1of 26

Compliance Guide

for MassMutual internal use


Contents Point of Contact
Introduction – What is AdvisorStream? AdvisorStream Team
Streamlined Compliance Workflow Main Office Line: 416-868-9672
How to sign in Email: info@advisorstream.com
Advisor Management
 How to access your Supervised Users Dashboard Account Operations Department:
Reviewing social media and website Christine Lin
Reviewing personal profile and brand profile Direct: 416-639-9735
Reviewing personal profiles christine@advisorstream.com
Reviewing brand profiles Client Success Department:
Awaiting Review Georgia Karakatsanis
Social Media / Website Submission Direct: 646-854-1492
Newsletter Submission georgia@advisorstream.com
Approve or Reject
Previously Reviewed
Advisor View
Global Approval
Global Rejection
Appendix A – Send Receipts
Appendix B – List of Notifications
2
Introduction – What is AdvisorStream?

AdvisorStream is an automated marketing platform


that allows advisors to leverage fully-licensed content
from the world’s leading publishers, to create engaging
digital experiences for their clients and prospects; from
newsletters, email, website, and social media.
AdvisorStream can also help you to deepen your client
relationships and capture new business.

3
Streamlined Compliance Workflow

A - Communications B - HO Approves / C - Distribution to Advisors


Created Requests Changes for Send Out

Weekly Client News Update Head Office Advisor Sent to Clients

Approved

AdvisorStream curates and sends Curated Communication sent Approved Communication distributed
to Head Office for review HO Reviews / Approves / Uploaded to Advisors to send out to clients

Each week AdvisorStream will curate a suggested Once HO has approved the weekly newsletter, a copy Advisors are given the option to send the newsletter to
weekly client communication and send to Head Office will be distributed to the advisor’s AdvisorStream account clients manually, via AdvisorStream’s automation or to
(HO) to review, approve or request adjustments. and a preview will be sent to the advisor’s email. make further adjustments to the pre-approved weekly
newsletter.

Submit newsletter to compliance by Compliance review submission by Newsletter distributed to advisors by


Tuesday Wednesday EOD Thursday

4
How to Sign In

1
Visit https://my.advisorstream.com/
accounts/login/
2 Fill in your username and password.

3 Click the purple login button.

* TIP: Need to recover your username


or password? No problem, it happens to
everyone! Just click the link ‘Forgot username
or password?’ so we may send you an email
to reset it.

5
Advisor Management

The Supervised Users dashboard


provides you a central hub to manage
the list of advisors that fall under your
supervision. When a new user signs up,
they will submit their personal profile,
brand profile, and any social networks
(Facebook, Twitter, LinkedIn) or website
for your review first.
Summary of the key information you
may review
• How an advisor is branding her/himself
on the content landing page and their
communications
• The website and social media pages
connected

6
Advisor Management: How to access your Supervised Users Dashboard

1 Click your username on the top right



purple header.
2 Select ‘Supervised Users’.

7
Advisor Management: Reviewing social media and website

Advisor cannot post content to connected


social account(s) until approved by compliance.
1 Click the checkbox for ‘pending social
 
1 accounts’ to filter for outstanding
2 submissions.
2 Under the column ‘Social Media &

Websites’, review the social page or
website URL by clicking on the hyperlink.
3 Select the green Approve button to

Hover to see time
allow advisor or the red Reject button
stamp of last action.
to disallow advisor to connect to
3 social page.
4 Connected Personal Facebook account

is not permitted and must be rejected.

* TIP: Hover over the hyperlink to see a time


stamp of the last action taken (i.e. when and
who has approved the last submission).

8
Advisor Management: Reviewing personal profile and brand profile

To filter and view only outstanding


profile or brand forms that requires your
attention, click on the Personal Profile
or Brand Profile tab on the top
purple header.

9
Advisor Management: Reviewing personal profiles – Part 1

1
Click the Personal Profiles tab on
the top purple header
1
2 Click the blue link of the advisor’s

2 name to access their submitted
personal profile form
3 Review the information submitted

– this includes…
- Name
- Title
- Profile picture
3
- Email Address
- Physical Address
- Signature
- Links
- Phone numbers

10
Advisor Management: Reviewing personal profiles – Part 2

Now, there are three choices:


A Override a field by directly entering

in the information and then clicking
the Submit button.

B Approve the entire submission by
clicking the green approve button
(as an option, you may also leave a
comment).
A C Reject the entire submission by

clicking the red reject button
(as an option, you may also leave
a comment).

* TIP: The fields highlighted in yellow are new/


B changed. Find a time stamp of when the most
C recent update or approval was submitted and
who submitted it, on the top of the form.

11
Advisor Management: Reviewing brand profiles – Part 1

1 Click the Brand Profiles tab on the



top purple header
1
2 Click the blue link of the advisor’s

2 name to access their submitted
brand profile form
3 Review the information submitted

– this includes…
- Company name
- Logo
- Brand color
3 - Slogan
- Email disclaimer
- Web disclaimer
- Opt-in message

12
Advisor Management: Reviewing brand profiles – Part 2

Now, there are three choices:


A Override a field by directly entering in

the information and then clicking the
Submit button.

B Approve the entire submission by
clicking the green approve button
(as an option, you can leave a
A
comment).
C Reject the entire submission by

clicking the red reject button (as an
option, you can leave a comment).

* TIP: The fields highlighted in yellow are new/


B changed. Find a time stamp of when the most
C recent update or approval was submitted and
who submitted it, on the top of the form.

13
Awaiting Review

Click on the Awaiting Review button.


This is where all submissions made by
advisors will await your review.
Content submissions found here will
include social media and website posts,
changes to weekly suggested newsletters
and any other email communications.

14
Submissions needing your attention will
be listed by most recent.
To review all areas prior to taking action
you can:
1 1 See the name of the advisor

who is awaiting review.
2 View the type of content submission

and where it is being delivered
- Facebook post
- LinkedIn post
2 - Twitter post
- Website post
- Newsletter
3 Date submission was sent for review.


15
Awaiting Review – Social Media / Website Submission

Click on the advisor’s name to pull up a


full view of the social media or website
submission
Here you can review the following:
1
Clicking on the image of content
piece will allow you to read the full
1
article.
2
Review the ‘custom message’ field.
If no custom message is displayed
our auto default message will be
included. This can be found under
2 the title and date in the article
thumbnail.
3
Ability to click on the social media
or website destination to see where
3 content will be posted to.

16
Awaiting Review – Newsletter Submission

Click on the advisor’s name to pull up a


full view of the newsletter submission.
Here you can review the following:
1 Introduction message.
2 Articles selected.
3 Click on the image of an article

to read in full.

2 * TIP: The ‘Previously Reviewed Articles’


box above the newsletter will provide a list
3 of articles selected that have already been
approved in the past.

17
Approve by clicking icon.
Reject by clicking the icon.

Rejection/approval action 1 After clicking either call to action a



must be taken in order for comment box will appear before
the advisor to proceed. proceeding to the final step.
2 If choosing to reject the submission,

leaving a comment for the advisor
indicating why will help them
re-submit with appropriate
Ability to leave a comment
amendments.
by clicking the speech
bubble icon. 3 Comments can be internal only,

1 or you can choose to also make
them visible to the advisor. This is
2 helpful when working as a team on
approvals or when needing to return
to accept/reject at a later date.

18
Previously Reviewed

Click on the arrow found beside Awaiting


Review then click on the Previously
Reviewed option from the drop down.
Here you will find an archived list of
content pieces that were previously
submitted for review.
Use the search field to find a specific
advisor’s submission.
1 Click on the title to pull up a review
2 of the following:
1 Date content piece was sent or shared

3
4 
2 Type of content; newsletter or
social share and to which accounts
5 3 Any comments made by the

compliance team with date stamp
4 Custom message
5 Full article and ability to read or

print by clicking on the image

19
Advisor View

Click on the arrow found beside


Awaiting Review then click on the
Advisor View option from the
drop down.
This allows you to view all
communications sent or shared by
an individual advisor.
Search by MassMutual rep ID to pull up
all past communications listed by most
recent. This view will include any weekly
suggested newsletters the advisor sent
and pre-approved globally approved
articles for social shares.

20
Global Approval

Pre-approving articles in advance creates


a content-rich library for advisors, a more
engaging experience for their clients,
and fewer article submissions to the
compliance team.
Method 1
1 Click on AdvisorStream at the

top left hand corner.
2 Click on the article image to

1 read/review the article.
2
3 Hover over the purple arrow

3
to open the full menu options
(after hovering over arrow it
4
will turn into an X).
4 Click the check mark icon

to approve article.

21
Global Approval – Part 2

Method 2

1 After reading the article click on the
icon with the three horizontal lines.
2
Click Approve article.

3 A green check mark will appear at the
top left corner of the image thumbnail.
This indicates the article is now a part
of the global approval or previously
approved article bank.
1
2 Advisors can automatically send globally
approved articles to their social media
accounts and website without having
to go through the compliance process
3 again (only as long as a custom message
is not included). If a custom message is
included the article gets rerouted back
through compliance.

22
Global Rejection

This feature will allow compliance to


“reject” an article. Following the rejection,
this article will no longer appear in the
advisor’s library and will eliminate the work
of having to reject the same unapproved
article multiple times.
1 Click on the utility bar of the

unapproved article in the library
(three horizontal lines).
1
2 Select “Reject article”.
3 A red X icon will appear on the

article image from the compliance
library (note: the status of the article
is reversible, meaning if you decide
to change your mind, you may
2 approve it in the future).
3
4 Article will then disappear from

the advisor’s library.

23
Appendix A – Send Receipts

For your archiving needs, we email


the advisor a “send receipt” for every
communication that is sent out or
posted so a record will be captured
in your email archiving system.
This send receipt includes an exact
copy of the communication that was
sent out through email or posted to
social media. It also includes the
following as an attachment:
- A PDF copy of the communication
- A PDF copy of each individual article
- A CSV file of all the live links to
the articles
- A CSV file of the recipients sent to
(if email)

24
Appendix B – List of Notifications

Manage the type of notifications you


receive from AdvisorStream by clicking
on the “Notifications Settings” link found
at the bottom of every email.

25
Publication Powered Content Marketing

26