CASE STUDIES
How firms use our solutions to meet compliance
BMO Investments: Meeting the KYP Requirements for the Client Focused Reforms
Canadian Financial Institution
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.
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.
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).
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.