The library · Financial advice firms · Reporting and sign-off
Start a marketing risk register
The common failures are an adviser's unapproved post, an out-of-date tax figure on the website and a performance claim with no risk warning beside it.
The prompt
I work in marketing at a financial advice firm. Help me start a simple risk register for our marketing. Context: The common failures are an adviser's unapproved post, an out-of-date tax figure on the website and a performance claim with no risk warning beside it. Before you start, ask me for anything missing from this list: - The channels we use - Who approves what today - Anything that has gone wrong before Then: 1. List what could go wrong on each channel. 2. Rate each by likelihood and harm. 3. Name an owner and a check for each. Give me: - A table of risk, likelihood, harm, owner and check - The three to deal with first Rules: - Use only the facts I give you. Where something is missing, write [detail needed]. Never invent a number, a name, a quote or a source. - Give general financial information only. Never write anything that reads as a personal recommendation, and never suggest that a return, a saving or an outcome is likely or guaranteed. - Write in plain English, in our voice if I have given you a sample. - Do not tell me what the rules or regulations say. If something may be restricted, flag it and I will check. Finish with a list headed "Check before this goes out". Include these, plus anything else our compliance officer or whoever approves our financial promotions should see: - Who approves each channel today, including advisers' own social accounts - Where approved promotions and their evidence are recorded - How often live pages are reviewed for out-of-date figures
Paste it into Claude, ChatGPT, Gemini or Copilot. It will ask you for what it needs.
Check before this goes out
- Who approves each channel today, including advisers' own social accounts
- Where approved promotions and their evidence are recorded
- How often live pages are reviewed for out-of-date figures
The prompt gives you a first draft. Someone qualified still approves anything a client will read.
More for reporting and sign-off
Is AI already loose in your firm?
Ten questions, three minutes. The AI Exposure Check shows where you're exposed and what to fix first.
Take the free check →