Striking the right balance between regulatory oversight and operational efficiency is a growing priority for wealth firms today. With that in mind, InvestorCOM has introduced firm-level BCC and CC functionality, a powerful enhancement that strengthens compliance oversight while integrating seamlessly with your existing infrastructure.

This new capability allows firms to automatically route advisor-to-investor disclosure communications to designated recipients via blind carbon copy (BCC) or carbon copy (CC). Whether it’s a shared compliance inbox, an archiving platform, or a surveillance system, this routing ensures that all relevant parties have visibility into what was communicated – when, how, and to whom.

By extending email oversight to the firm level, compliance officers gain a clearer line of sight into disclosures being sent by advisors. This added layer of supervision enables firms to detect inconsistencies, verify message accuracy, and align communications with internal policies and external regulations.

Importantly, every investor disclosure continues to be logged in Compliance Express as its own distinct, auditable event. This redundancy provides the control and transparency needed to meet books and records obligations under regulatory frameworks such as the SEC’s and FINRA’s. It also serves as a secondary safeguard, giving compliance teams the ability to independently verify that required disclosures are being delivered as intended.

What sets this enhancement apart is that it delivers greater oversight without operational disruption. No additional processes are required on the advisor’s end. The BCC/CC functionality is applied automatically, ensuring communication is captured and routed in real time, without requiring extra steps or manual intervention. It’s a small adjustment that brings major advantages – particularly in environments where advisor independence must be balanced with centralized supervision.

For compliance leaders, this feature represents more than just a technical improvement. It’s a strategic step toward building a more transparent, accountable, and resilient compliance framework – one that anticipates regulatory expectations and empowers firms to meet them with confidence.

With firm-level BCC and CC, InvestorCOM continues to evolve its capabilities in support of a best interest environment – strengthening firm-wide communication oversight while preserving advisor efficiency.

See it in action: 

Visit InvestorCOM.com/Demo to explore