ComplianceExpress Prove every recommendation and disclosure.
ComplianceExpress is the record-keeping system for the InvestorCOM Compliance Platform. Every recommendation, disclosure and compliance check is captured in one place, so your advisors can document their work and your compliance team can supervise it in seconds.
3 easy steps to a complete compliance record.
1
Capture every compliance event.
Recommendations, disclosures, notes and compliance checks are logged automatically from PeerCompare, PeerCompare Annuities, AccountCompare, RolloverAnalyzer and your third-party tools.
2
Review advisor activity.
Advisors see their own recommendations, disclosures and email status. Supervisors see activity across the firm.
3
Report and remediate.
Run reports at the advisor, client, branch or firm level to find gaps and fix them before an exam does.
Why choose ComplianceExpress to meet Reg BI and the Client Focused Reforms?
Regulators expect you to show your work. ComplianceExpress gives you one auditable record across every tool in the Compliance Platform, so you can respond to a challenge or an examination with confidence.
One record across the Compliance Platform.
Events from PeerCompare, PeerCompare Annuities, AccountCompare, RolloverAnalyzer and partner systems all land in a single log.
- Automatic capture
- Timestamps
- Advisor notes
- Compliance checks
The advisor’s view.
Advisors look up their own recommendations and disclosures, check email and open status, and add notes.
- Search
- Filter by date, client or security type
- Expand for the full details
Enterprise compliance reporting.
Admins track advisor activity across the firm.
- Reports at the advisor, client, branch or enterprise level
- Spot advisors who aren’t using the tools
- Flag missing disclosures
Your data, in your tools.
Pull compliance data directly into Excel or Power BI. No exports to request, no waiting.
Built to integrate.
Open APIs let you send events from your own systems and build custom controls such as trade-file reconciliation, automatic remediation and non-compliance alerts.
Scalable and secure.
Cloud-native, highly available and ready to meet data-residency requirements in the US and Canada.
Meet your recordkeeping and supervision requirements.
| Requirement | ComplianceExpress |
|---|---|
| Document the basis for each recommendation | |
| Evidence of disclosure | |
| Supervisory review | |
| Retrospective / periodic review | |
| Recordkeeping and retention | |
| Exam-ready reporting |
“InvestorCOM delivers on having a ‘proudly simple’ platform supported by exceptional service. Their partnership-minded approach has supported our ability to create solutions tailored to our unique business needs.”
Jamie Wieferich
SVP, Chief Operating Officer, Wealth Management, D.A. Davidson & Co.
“With access to InvestorCOM’s comprehensive rollover analysis tool, our Financial Advisors can easily document their comprehensive discussions with clients about moving their retirement dollars.”
Risa Gomez
First Vice President of Retirement Plan Services at Davenport & Company LLC
“Meeting Reg BI compliance with a remote workforce of advisors is only possible by using a technology like this. We are impressed by InvestorCOM’s comprehensive solution.”
William Best
COO of Regal Holdings
Webinar: Reg BI Exams – Reasonably Available Alternatives and Record Keeping
Our panel of experts discuss how firms can achieve a consistent and repeatable process for assessing costs and a reasonable range of alternatives at the time of a recommendation.
Compliance as a Business Enabler: Transforming Oversight into Opportunity
Compliance leaders and former regulators on turning supervision into a business advantage.
Case Study: Regal Holdings
How Regal Holdings meets the care and disclosure obligations of Reg BI with InvestorCOM.