InvestorPOS™ is a repository and workflow solution for dealers and advisors delivering Fund Facts, ETF Facts and other disclosure documents to investors on a pre-sale basis and in compliance with the “Point of Sale” (National Instrument 81-101 Mutual Fund Prospectus Disclosure) and “CRM2” (National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant
Pre-sale delivery of disclosure documents is a major sales process change in the financial services industry. This regulation is driving increased adoption of e-delivery due to near-real-time disclosure requirements.
Watch how easy it is to search the entire universe of Fund Facts and deliver them electronically, in-person or printed/mailed to investors, while maintaining a compliant audit trail for all events.
Integrate InvestorPOS with your dealer’s front office system in order to address the POS stage 3 pre-trade Fund Facts delivery requirement. This eliminates re-keying of client data and ensures that data accuracy is maintained. InvestorPOS supports all industry-standard protocols and integrates with any front office CRM solution (e.g. Salesforce, NexJ, Microsoft Dynamics CRM and other leading CRM systems) that supports these protocols as well.
InvestorPOS integrates with any back office system (e.g. ADP Dataphile, IBM ISM, Univeris, RPM and other book of record systems) that supports industry-standard file formats – virtually any system that can provide an industry standard file fits into our ecosystem. These files are used for account history, trade adjudication and transaction processing so that Fund Facts fulfillment can be completed or suppressed where permitted.
To inquire about an enterprise license for your dealer or for information on our POS solution please contact us.
Features & Benefits
|Simple workflow for advisors to search the universe of Fund Facts and deliver them electronically, in-person or printed/mailed to investors||Ease of use for advisors; improved advisor productivity; greater client satisfaction and choice|
|Software as a Service (SaaS) solution is secure and available 24/7||Best of breed and continually improved solution; Greater advisor/dealer flexibility and productivity; greater security|
|Fully compliant audit trail reporting of all delivery events||Risk mitigation; Cost effective, multi-channel capability leverages secure e-delivery and dynamic print/mail technologies|
|60-day ‘Quick Start’ implementation for dealers meeting Stage 3 of NI 81–101 Point of Sale regulation||Speed to market; seamlessly integrates with dealer’s back or front-office systems|