Client meetings are where advice actually gets given.

They are also the communications that almost never get reviewed. Emails leave a written record that a compliance team can sample. A conversation in a conference room or on a video call usually leaves nothing behind.

Now that Vega records and transcribes your client meetings, that conversation does leave a record, and Vega can review it the same way it reviews client emails.

After every meeting Vega analyzes, the meeting is automatically evaluated for potential compliance risks.

Whenever Vega analyzes a meeting, it reviews that meeting for compliance and assigns a risk level:

The review happens automatically. There is nothing to turn on for an individual meeting and nothing to submit.

Vega evaluates the conversation against the same regulatory considerations it uses for email:

The review runs after your meeting notes and follow-up email have been delivered, so it never delays the output you are waiting for.

This is the most important thing to understand about meeting compliance review.

Your meeting notes are written to your firm’s template. They consolidate, remove redundancy, and stay within a length limit. That is exactly what makes them useful to read, and exactly what makes them the wrong thing to review for compliance.

The offhand remark a compliance team needs to see is precisely the kind of detail a good summary leaves out.

So Vega reviews the full transcript of the conversation instead, together with the context of the meeting: who was there, the client or household involved, the type of meeting, and when it took place.

The entire transcript is reviewed in a single pass rather than sliced into pieces. That matters more than it sounds. A hypothetical set up at the beginning of a conversation and returned to twenty minutes later reads as a recommendation if you only look at the second half.

A spoken meeting is not a written email, and Vega does not review it as if it were.

Vega takes into account that:

The goal is not to flag every conversation that mentions performance or returns. It is to surface the small number of moments that genuinely warrant a second look.

Sensitive numbers, such as account numbers, are already redacted from the transcript before the review runs.

If a meeting is rated High or Critical, Vega re-runs the review with a larger, more capable model before doing anything else.

This second pass exists to reduce false positives. An alert that reaches a compliance inbox should be worth the interruption.

If the higher risk level is confirmed, Vega emails your firm’s compliance contact with:

The advisor whose meeting was flagged can also be copied on that email, depending on your firm’s settings.

Meetings rated None, Low, or Medium do not generate an alert. They are still reviewed and still appear in your reports.

Meeting compliance reviews live alongside email compliance reviews in the Compliance tab of the Reports page.

The tab opens on a Review queue listing the individual reviews, sorted by risk level and then by recency, and pre-filtered to what is still outstanding.

Opening a review shows:

Because the review names its source, meetings and emails sit in the same queue without being confused for one another.

Each review also carries a status of Open, Addressed, or Dismissed, which users with Admin permissions can change from the review itself. That way your compliance team can work through flagged meetings rather than re-reading the same ones every week. Read our article Reports for a detailed walkthrough of this workflow.

Below the queue, a By advisor table gives the aggregate view, with one row per advisor and one column per risk level.

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 tab of the Reports page, but the data is limited to their own account.

Email compliance review gave your firm visibility into written client communication.

Meeting compliance review extends that same visibility to the conversations themselves, which for most advisory firms were previously invisible to compliance entirely.

The goal is not to second-guess your advisors. It is to make sure that the most important client conversations your firm has are held to the same standard as everything else, without anyone having to sit through hours of recordings to do it.