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The common failures are an adviser's unapproved post, an out-of-date tax figure on the website and a performance claim with no risk warning beside it.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Context: The common failures are an adviser's unapproved post, an out-of-date tax figure on the website and a performance claim with no risk warning beside it.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- How often live pages are reviewed for out-of-date figures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  • How often live pages are reviewed for out-of-date figures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.

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