Deliverable compliance review is part of Vega Pro. To upgrade to Vega Pro and access this feature, a user with admin permissions at your firm needs to go to the Admin page, update the firm’s subscription, and assign Vega Pro seats to the appropriate users.
A Client deliverable is one of the most consequential documents your firm produces.
It is longer than an email, it contains figures, projections, scenarios, and recommendations, and it is designed to be handed to a client.
That is exactly the kind of document you want reviewed before it leaves your hands.
So every Client deliverable Vega generates is automatically evaluated for compliance risk, and re-evaluated every time it changes.
Deliverable compliance review
When Vega finishes generating a Client deliverable, it runs a compliance review over the entire document and assigns a risk level:
None
Low
Medium
High
Critical
You will see this happen at the end of the generation process, where Vega reports that it is reviewing the deliverable’s compliance before finalizing it.
Vega evaluates the deliverable against the same regulatory considerations it applies to emails and meetings:
Fairness and balance: ensuring the document is complete and does not omit important information
Accuracy: avoiding misleading, exaggerated, or unsupported claims
Performance discussions: identifying inappropriate projections or guarantees
Source transparency: ensuring information is properly supported
Risk disclosure: ensuring benefits and risks are presented appropriately
Audience appropriateness: considering whether the document is suitable for the client it was written for
Where to find the review
The compliance review lives on the deliverable itself.
In the deliverable toolbar, you will see a shield icon. Its color reflects the risk level Vega assigned, so you can read the verdict at a glance without opening anything:
Grey: no risk
Green: low risk
Amber: medium risk
Red: high or critical risk
Click the shield to open the full review, which shows:
Content summary: what the document says, including verbatim quotes of the passages that matter
Analysis: why Vega assigned that risk level
Recommendation: how the content could be phrased to reduce risk, and what a reviewer may want to do about it
The date and time of the review are shown as well, so you always know whether you are looking at a review of the current version of the document.
The whole document is reviewed as one
Vega does not review your deliverable section by section in isolation.
It assembles the entire document, including every section, every scenario, and the content of tables, charts, and cards, and reviews it as a single piece of client-facing communication.
This matters for the same reason it matters in a meeting. A projection presented in one section may be perfectly appropriate once the assumptions and disclosures in another section are taken into account. Reviewing sections separately would miss that.
When Vega does identify a concern, it names the specific section where it appears, so you know exactly where to look. If your deliverable includes multiple scenarios, the review points to the scenario as well.
The review updates as you edit
A deliverable is not a finished document the moment it is generated. You review it, rewrite sections, adjust figures, add or remove scenarios, and refine the wording.
Every one of those changes can change the compliance picture, so Vega re-runs the review after the deliverable is updated:
when you ask the Vega chat to rewrite, expand, or shorten a section
when you add, modify, or remove a scenario
The document refreshes first so you can see your change immediately, and the review is refreshed right behind it. The shield icon then reflects the version of the deliverable you are actually looking at.
Why deliverable reviews are not in the Reports page
Email and meeting compliance reviews appear in the Compliance tab of the Reports page. Deliverable reviews do not, and that is deliberate.
An email has been sent. A meeting has taken place. Those are communications that already reached a client, which is what makes them something a compliance team needs to triage after the fact.
A deliverable is still a draft in the advisor’s hands. A flag on one is not a compliance event, it is feedback on a document you have not shared yet, delivered at the moment it is still easy to act on.
For the same reason, a high or critical risk level on a deliverable does not trigger a compliance alert email. The review stays with the document, where the person who can actually fix it will see it.
How it fits into your review workflow
Deliverable compliance review is one part of reviewing a document before it reaches a client, alongside sources and Verified sections.
A workflow that works well:
Work through the deliverable section by section, checking the underlying sources as needed
Make your edits, manually or through the Vega chat
Mark each section as Verified as you finish it
Open the compliance review once the document reads the way you want it to
Address anything it raises, then export or present
Because the review re-runs after your edits, checking it near the end means you are reading a review of the document you are about to send, not the first draft Vega generated.
A practical way to think about it
Vega’s compliance review is not there to approve your deliverable, and it does not replace your firm’s review process.
What it does is make sure that no client-facing document leaves Vega without at least one consistent compliance read, applied the same way to every advisor and every deliverable.
You still decide what the document says. Vega just makes sure someone looked.