Email is one of the main ways advisors communicate with clients and prospects.

Historically, reviewing those communications for compliance has been a very manual process for RIAs.

That is why we built Vega’s email compliance review, where Vega analyzes every client-facing email and evaluates potential compliance risks automatically.

The analysis goes beyond simple keywords. Vega understands the full context of the conversation, including the email thread and relevant client information, to review communications the same way a human reviewer would: understanding the meaning behind the message, analyzing the surrounding context, and identifying potential risks before they become larger issues.

Vega automatically reviews client-facing emails and evaluates them for potential compliance risks.

Each email is assigned a risk level:

This allows the compliance team to focus attention where it matters most.

Vega reviews communications based on key regulatory considerations, including:

The important difference is that Vega analyzes emails in context.

For example, a traditional keyword system might flag every mention of “guaranteed” or “return.”

Vega looks at how the term was actually used, the conversation around it, and the overall meaning of the communication.

This helps reduce noise while still identifying the situations that require attention.

Compliance is also built directly into Vega-generated content.

Any email drafted by Vega is designed to follow compliant communication practices before it reaches the client.

This includes:

Whether Vega is helping you respond to a client, summarize a meeting, or create a new message, compliance considerations are incorporated into the drafting process.

All compliance reviews are also available from the Reports page in Vega.

The Compliance section provides visibility into reviewed communications and organizes them by risk level:

From this section, you can:

Each advisor can access their own compliance reviews directly from their Vega account.

Users with Admin permission levels have access to the “All users” filter, allowing them to review compliance activity across the entire firm. They can also filter by specific users to review individual advisor communications.

Users with standard permissions can still access the Compliance section of the Reports page, but the data is limited to their own account.

Vega helps compliance move from random review to continuous monitoring.

Instead of reviewing a small sample of communications after the fact, Vega helps evaluate client communication as it happens.

The goal is not only to catch potential issues, but to give advisors and compliance teams better visibility, better context, and more confidence in client conversations.