1. Planning Services Meeting Client Communications
Client Management
Review Meeting
Planning Services Meeting
Periodic Contact
Client Communications
Description: This workflow describes all the steps required to initiate, manage, and execute a client communication across several clients simultaneously. Examples of typical communications include but are not limited to, investment commentary, Form ADV letters, newsletters, announcements, etc.
Process Checklist
PREPARE
ROLE
TASK
DETAILS/TIPS
Client Service Associate
Validate Communication with Advisor
This process is initiated when a reminder or event prompts the firm to send out a client communication
Confirm the communication type with the Advisor to ensure it’s clear what the focus and intent of the communication
Based on the content and purpose of the message, determine whether the communication should be sent electronically or through the mail
Discuss type of content and data needed for the communication
Identify the list of recipients to receive communication
This could be an existing mailing list (i.e. qualified prospects) or a specific list of contacts that the Advisor has identified
Determine a target date for sending communication
When setting the target date be sure to take into consideration the amount of time required to generate the content needed for this communication
Confirm Recipient List & Data Needed
Notify the team about the communication and confirm the recipient list
Validate the contact information is up-to-date for recipient list
Initiate process for gathering any data needed for the communication content
Draft & Prepare Client Communication
Verify the receipt of the data needed for the communication
Draft the communication and gain compliance approval as necessary
Finalize the communication and prepare it for distribution
Be sure to proofread any content and double check any information or data that might’ve been used in the communication for accuracy
Coordinate the printing of materials as needed
To avoid wasting any misprinted materials, print and preview a proof of the communication before printing all copies, in order to ensure the content, print, and quality of the materials is as expected
© 2015 SEI. This information is proprietary.  No further distribution is intended.

2. Planning Services Meeting Client Communications
Client Management
Review Meeting
Planning Services Meeting
Periodic Contact
Client Communications
Process Checklist
CONDUCT
ROLE
TASK
DETAILS/TIPS
Client Service Associate
Send Out Communication
Organize all the materials for the communication
Finalize and send out communication to the appropriate contacts
If this is an electronic communication:
Best practice is to send a test communication to yourself before sending it to all the contacts to ensure the message went through as expected and that the technology works
If this is a mailed communication:
Best practice is to mail an extra copy to yourself along with the others, so the firm can ensure the mail gets delivered and also has a sense of how long it will take to be delivered
Process Checklist
FOLLOW-UP
ROLE
TASK
DETAILS/TIPS
Client Service Associate
Notify Team & Provide Copy of Communication
Notify the team that the communication was sent & provide a copy of communication for reference
Identify a method for tracking the communication
If this is an electronic communication:
See if the technology provides the ability not only to monitor delivery but also open or click-through rate (how many contacts actually receive and read or interact with the communication)
If this is a mailed communication:
See if the provider will either estimate the expected delivery date or provide a method for tracking the delivery online
Manage Tasks to Monitor Communication
Update CRM the records of who received communication
This allows the firm to stay up-to-date on what the last point of contact was
Track all communications to ensure they were received
Address any communications that failed to send properly
If the communication provides a call-to-action for the recipient, follow-up with non-respondents who didn’t take that call-to-action
© 2015 SEI. This information is proprietary.  No further distribution is intended.