🔐 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: support@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: support@4uplatform.com
✅ Workflow Settings - Before You Start
Have you reviewed the Planning Your 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