How firms use our solutions to meet compliance

Measuring the Impact of Reg BI's Best Interest Requirement

US Broker-Dealer

InvestorCOM conducted an analysis to understand if best interest can be measured, and more importantly if it can improve over time. We examined two years of recommendation data from financial professionals using InvestorCOM PeerCompare and the results of our analysis show that InvestorCOM’s technology is making a positive impact on helping the industry change outcomes.

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.

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.

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.

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).