An investment professional leaves a client meeting and wants to capture the details before memory fades. Voice typing can help, but the choice of app must fit the employer's rules for client information, electronic storage, and approved records. CFA Institute Standard III(E) requires members and candidates to preserve client confidentiality and follow their firm's electronic-information procedures. It does not approve a particular dictation product.
SuprFlow's Mac app runs speech recognition on the device after downloading a model. Its default cleanup also runs locally. That narrows the speech-content transfer path, but the app can optionally send transcript text to a hosted formatter. It also retains recent raw and processed transcripts locally, briefly uses the macOS clipboard for ordinary insertion, and includes release telemetry and account/license traffic. A CFA professional should ask their compliance or technology owner to approve the exact signed build and configuration before dictating real client information.
Use a fictional client note as the pilot
Create a synthetic meeting with a fictional household, a deliberately fake portfolio value, a revised risk preference, a date, and one requested follow-up. Dictate into the approved CRM or note system, not a personal cloud document. Check whether the result gets the household name, monetary amount, percentage, negation, and follow-up owner right. A phrase such as “the client did not authorize a sale” must not become “the client authorized a sale” after cleanup or AI formatting.
After dictation, compare the draft with your contemporaneous notes, correct material facts, label what the client said versus what the adviser inferred, and complete the firm's normal review and recordkeeping step. SuprFlow's local history is a drafting copy, not necessarily the firm's required client record. The destination system's sync and retention rules matter even when speech recognition is on-device.
Check the employer policy before the settings
CFA Institute's electronic-information guidance under Standard III(E) specifically points professionals to their employer's procedures for storing and communicating confidential information on laptops and other systems. Ask which device, destination, transcription tool, and formatter endpoints are allowed. If there is no policy for AI-enabled dictation, encourage the firm to make one rather than treating an individual privacy setting as permission.
| Question for the policy owner | Evidence to record |
|---|---|
| Can this managed Mac retain temporary client drafts? | Local history file, backups, disk controls, and history-deletion behavior in the signed build. |
| May transcript text go to an AI formatter? | Allowed provider and plan, endpoint, contract, retention, and model-training terms. |
| What non-content traffic is permitted? | Telemetry payload audit, license/account endpoints, model downloads, and updates. |
| Where must the final note live? | Approved CRM or records system, access controls, supervision, and retention label. |
| How is accuracy reviewed? | A person responsible for names, amounts, suitability facts, and client instructions. |
A firm should request a release-specific data-flow statement and signed-build evidence. A published description alone does not prove the installed binary behaves identically.
Questions people ask
Does on-device dictation satisfy CFA Standard III(E) by itself?
No. The Standard addresses preservation of client confidentiality and following employer electronic-information procedures. On-device recognition is one technical control; retained drafts, clipboard tools, optional providers, destination storage, and firm rules still need review.
Can I put a client meeting note through a personal AI account if audio stays local?
The optional hosted formatter receives transcript text in SuprFlow 1.0.0. A personal provider account may have different retention and training terms from the firm's approved arrangement. Ask the compliance owner before sending client text there.
Should I delete the local transcript after filing the CRM note?
Follow the firm's temporary-copy and retention policy. In SuprFlow 1.0.0, deleting an individual history row may not persist after a restart, and a pending save can race with Clear All; use Clear All and confirm after relaunching. The firm's official record should remain in its approved system even when a temporary drafting copy is removed.
Related guides
- Voice dictation for financial advisers on Mac
- Private dictation for financial firms
- Where does my dictation go?
- Does SuprFlow use dictation for AI training?
- Delete SuprFlow transcription history