Disclosures
The Disclosures tab is where you can review your content to ensure disclosures are appropriately applied.
Disclosures are onboarded either using your static Disclosure Library, or through our proprietary disclosure analysis. Using both or one of these methods, we create your Norm Ai disclosure library by creating an AI agent for each one of your disclosures, and testing and validating your disclosures across your content.
Similarly to the Review and Substantiation tabs, the workflow in the Disclosures tab is completed via "Comments" with the same actions of “Accepting” or "Dismissing" Comments either individually or in bulk. You will similarly be able to filter for Comments across statuses and by default, the Comments will have a status of “Open”, denoting that you need to review and action them.
There are four types of Comments, otherwise known as “Match Types”:
- Missing [Norm Ai Environment Name] Disclosure: this Comment flags when a disclosure in your Norm Ai Disclosure Library should appear in the content, but is not.
- Exact Match [Norm Ai Environment Name] Disclosure: this Comment flags when a disclosure in your Norm Ai Disclosure Library should appear in the content, and is detected verbatim.
- Approximate Match [Norm Ai Environment Name] Disclosure: this Comment flags when a disclosure in your Norm Ai Disclosure Library should appear in the content, and is detected, but the verbiage does not match verbatim what is in your Norm Ai Disclosure library.
- Regulatory Driven Disclosure: this Comment flags when a disclosure in your Norm Ai Disclosure Library is not firm-specific, but relates to the SEC/FINRA regulations.