CASE STUDIES

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.

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

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.

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.

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).