🔐 Who Can See or Modify These Settings?
All Home Office Users can view Company Settings.
Only users with the Company Administrator entitlement can make edits.
➡️ Navigate to:
User Icon → Company Settings
🏷️ Company Tab: Details & Branding
This section contains basic company information and branding elements used throughout 4U Engage.
Company Details
Displays your firm's key identifying information and advisor-facing contact info:
Company Name
Company Type
Company Description: Appears on your Company Page in 4U Engage
Primary Email & Phone: Listed for Advisor inquiries
Company Branding
Visual assets shown to Advisors in 4U Engage, including:
Logo Symbol: Displayed on your content and Company Page (recommended: 200x200px)
Used for branding across Advisor dashboards
📝 Note: Any changes made here will be reflected immediately in 4U Engage.
🧾 Account Tab: Profile & Associations
The Account tab provides read-only access to your firm’s account information, notification contacts, and connected companies.
➡️ Navigate to: Company Settings → Account
What You Can View:
Account Name & Number – Identifies your Wealth Management Company within the 4U platform
Account Status – Indicates if your account is active
Account Contacts – List of email addresses that receive account-related notifications (e.g., system alerts, access updates)
Associated Companies – Other companies your firm is connected to within 4U Connect
📝 Note: Account fields are locked and cannot be edited directly in the platform.
To request updates to Account Contacts, email: security@4uplatform.com
🔐 Security Tab: Access Controls
Navigate to Company Settings → Security
What You Can Manage:
Company Administrators – View Company Admin users
Contact Administrators - View Contact Administrators
Company Domain(s) Allowed – Restrict access based on email domain
IP Configuration – Limit platform access to trusted IP addresses
Inactive Session Timeout – Set logout period for inactive users
📝 To modify domain restrictions or session timeouts, email: security@4uplatform.com
✅ Workflow Settings - Before You Start
Have you reviewed the Planning Your 4U Connect Setup 4U Connect Setup? If not, we recommend reviewing it first to ensure your company is fully prepared to configure Workflow Settings.
🔍 What Are Workflow Settings?
Workflow Settings allow your company to create a custom approval process that aligns with your internal compliance requirements—whether simple or complex. This tool helps you:
Eliminate manual tracking (e.g., shared spreadsheets)
Automate the review and approval routing
Ensure firm-specific rules are always applied
You’ll find these settings under:
Company Settings > Workflow
⚙️ Workflow Settings Overview
Workflow Settings include several key sections:
1. Approval Code Format
(Automatically Increments)
Set the format for your Content Approval Codes. You can choose a numeric or alphanumeric format as the starting point. After each approval, the next code will be auto-generated—no manual tracking needed.
💡 Pro tip: Many firms use a prefix (e.g., firm name or abbreviation) and the year followed by a six-digit number (e.g., ABC25-000001).
2. Approval Expiration Settings
Each Content record will have:
A Content Expiration Date (set by Submitting Partner)
An Approval Expiration Date
Here, you’ll define the default Approval Expiration Date for your firm. Choose from:
1 year
18 months
2 years
📝 Note: Need a different timeframe? Reach out to our Support Team at support@4uplatform.com.
3. Email Document Status Notifications To
Set a compliance email address to receive copies of status notifications (e.g., "Approved", "Change Requested"). These emails will be sent to both the individual user and the compliance address entered here.
🔒 Helps with compliance archiving of all document status changes.
4. Email Electronic Communication Records To
If your firm needs to archive in-app communication (e.g., comments between Submitters and Approvers), enter the compliance email address here.
All in-app comment threads will be sent to that address for retention.
🧠 Planning Your Workflow Rules
Because 4U Connect Workflow Settings are fully customizable, start by translating your current compliance rules into the tool.
Focus on three key areas:
➤ Accepted for Use
Does your firm allow certain content to bypass approval?
Example: Publicly available content or Advisor use Only content.
➤ New Version Re-Review Not Required
Can some updates skip review if the changes are minor or non-material?
Example: Quarterly updates to Fact Sheets.
➤ Assignment Rules
Who should review what? Define logic to automatically assign submissions to the correct Review Team or specific Reviewer.
🧩 Configuring Workflow Rule Sets
Each Rule Set includes logical conditions joined by AND. A condition = attribute + operator + value.
5. Rules for Accepted for Use
Attributes: Intended Audience, Product Team, Category, Subcategory, Clean FINRA letter
Operators: Is any of / Is NOT any of
Values: Select one or more values
6. Rules for New Version Re-review Not Required
Attributes: Minor Version Updates, Non-Material Change, Content Format
Operators: Includes changes to / Does not include changes to
Values: Select one or more values
7. Assignment Rules
Attributes:
Partner Firm Name (starts with)
Submitting Product Team
Intended Use
Category
Subcategory
Operators: Is any of / Is NOT any of
Values: Select one or more values
Then Assign To:
Select a specific Business or RP Reviewer or Review Team. Use the default "Aligned Review Team" to match Submitters with their corresponding Review Teams (e.g., Mutual Fund Submitter Team → Mutual Fund Review Team).
🔄 How Assignment Rules Work
When Content is made available to your company:
Each Assignment Rule Set runs in the order listed
The first true condition applies
The system assigns the Approval Request accordingly
❓ Need Help?
We're here to support you.
Contact the 4U Support Team at support@4uplatform.com