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CASE STUDIES

How firms use our solutions to meet compliance

Regal Financial Group Meets Reg BI with Remote Workforce

US Broker-Dealer

Regal Financial Group needed to quickly meet Regulation Best Interest (Reg BI) requirements.  COVID-19 presented an additional challenge in that their entire team was working remotely. Learn how technology helped them quickly and efficiently meet the Care and Disclosure obligations of Reg BI.

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Saving Time and Money by Streamlining the Financial Reporting Process

Asset Management

Prior to partnering with InvestorCOM, Russell Investments created their compliance documents – Financial Statements, MRFPs, and Fund Facts – using an outside vendor and traditional typesetting.

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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.

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DOX Delivers Wholesaler Team Efficiencies

Asset Management

MacKenzie Investments 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.

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Print Vendor Consolidation Delivers $3.5 Million in Savings

Client Communications

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).

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CDM Program Delivers 75% Cost Savings

Asset Management

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.

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InvestorCOM Inc.
55 University Avenue
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Toronto, ON
M5J 2H7

+1 (800) 361-9494
info@investorcom.com

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