Vega helps maintain SEC compliance by monitoring emails and meetings and flagging potential compliance risks, sending alerts to a designated email address if any high or critical compliance risks are found.
To enable Vega’s SEC compliance review feature, enter the email address where you want to receive compliance alerts in your Settings (only for Admin users). You can also review all compliance flags raised over the last 180 days in the same section.
Here’s how Vega’s compliance email alert works:
Risk level
Vega assigns a risk level (Critical, High, Medium, Low, and None) to indicate the severity of the detected issue and help prioritize the response.
Content summary
The email displays a summary with the recipient and the specific text(s) and term(s) that triggered the compliance flag for quick context.
SEC risk analysis
Vega provides an analysis explaining why the content poses a compliance risk, such as making market predictions without proper disclosures.
Recommendation
Vega offers recommendations on how to address the issue, such as avoiding certain statements or ensuring future communications meet SEC guidelines.
Vega ensures that every client email and meeting is reviewed for compliance, helping firms avoid regulatory issues and maintain accurate, compliant client communications.