InvestorCOM creates easy to use Financial Services Communications through Dell EMC
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InvestorCOM Becomes Leading ‘Regtech’ Company with its Point of Sale Solutions in the Wealth Management Industry
This case study describes how InvestorCOM successfully addressed the Canadian mutual fund Point of Sale regulation with an innovative suite of technology solutions.
Customer Communications Management – Transformation
Prior to partnering with InvestorCOM, our Client had 4 different print vendors to manage different aspects of 29 different customer communications including statements, trade confirmations and tax slips across 6 advisor channel Lines of Business (LOBs).
Insurance Company Uses InvestorCOM’s Print Management Service to Reduce Costs
Our Client was looking for an outsource partner that could not only provide fulfillment and distribution of their printed and premium materials but also provide cost savings in the procurement of all of their printed material including marketing material, forms and business documents.
Dealer Saves Time & Money Delivering Documents Electronically
Aligned Capital Partners Inc. (ACPI) is an independent securities dealer with head office in Burlington, Ontario and branch locations across Canada. Originally founded in 1987, it was built on the premise of aligning the interests of the investor, advisor and dealer. A member of the Investment Industry Regulatory Organization of Canada (IIROC), ACPI knows full well the disclosure requirements and challenges facing the investment industry.
POS Stage 3 Fund Facts Delivery Solution
Our client is one of Canada’s largest independent wealth management firms with over 700 MFDA & IIROC investment advisors overseeing nearly $30 billion in assets under administration. The client approached InvestorCOM in order to address the then-pending Point of Sale regulation (National Instrument 81-101) that required their advisors to deliver a Fund Facts disclosure document to investors at or prior to the point of sale. Our client was seeking a solution that would be readily adopted by advisors and improve the overall investor experience.
Automated Publishing for ‘Fund Facts’ Disclosure Documents
Our client is one of Canada’s Five Big Banks, with $655 billion in assets and serving approximately 20 million customers in key businesses in Canada and the U.S., including wealth management, personal and commercial banking. The financial institution (FI) approached InvestorCOM to provide an efficient, automated solution to produce and update 950 mutual fund and segregated fund disclosure documents on an ongoing basis.
Enterprise Publishing for Compliance Documents
Our client is a mid-size investment funds manager servicing institutional investors, financial advisors and investment individuals with a broad range of investment products. They came to InvestorCOM to find a solution for publishing all their compliance documents.