Compliance: Investment Dealer Saves with E-delivery
Wealth Management MFDA /IIROC Dealer
Regulatory pressure mandated significant change for the entire industry, resulting in POS regulation of pre-sale delivery of mutual fund Fund Facts, ensuring investors were armed with the necessary information to make appropriate investment decisions.
Marketing: Dox Delivers Wholesaler Team Efficiences
The client was seeking a means to easily create custom Advisor Sales kits in a cost- effective way, consisting of corporate compliance approved presentations, static marketing materials, and/or custom user created documents.
Reporting: Print Vendor Consolidation Delivers $3.5 Million in Savings Through Operational Improvements
Prior to partnering with InvestorCOM, our Client had 4 different print vendors to manage different aspects of 29 different types of communications with their clients including statements, trade confirmations and tax slips across 6 advisor different Lines of Business (LOBs).
Reporting: Continuous Disclosure Management (CDM) Program Delivers 75% Cost Savings
Prior to partnering with InvestorCOM, our Client sent 400,000 annual instruction cards to their investors once per year that included a perf-off Business Reply Mail (BRM) card that investors complete and mail back if they wish to receive the documents. More than 50% of these clients also received an annual statement.