Manage recordkeeping transactions and document delivery from a secure, cloud-based platform. Boost operational efficiencies, reduce costs and stay compliant.
More than 50,000 financial professionals use ComplianceExpress.
Delivering 10 million recordkeeping and disclosure events every year.
Save time and money by sending disclosure documents to clients electronically
Printing and mailing compliance documents to investors is time consuming and expensive.
With ComplianceExpress, your financial professionals can manage and electronically deliver any client document – such as Form CRS, Form ADV, RDI, RAA disclosure, welcome kits, presentations and other compliance/marketing documents.
Be ready for an audit or examination
Maintain a comprehensive audit trail of all client disclosure. ComplianceExpress manages the recordkeeping aspects of every analysis, recommendation and disclosure event.
Integrated compliance reporting is available at the advisor, client, branch and enterprise level.
Fast and easy to implement with minimal client IT resources
ComplianceExpress was designed to fit into your existing infrastructure. Use it as a standalone disclosure and recordkeeping solution or maximize its value by combining with InvestorCOM PeerCompare and ShelfMonitor.
It fits into the financial professional’s existing workflow, optimizing their day-to-day activities, maximizing efficiency and boosting productivity.
ComplianceExpress offers extensive API integration capabilities. With all recordkeeping and disclosure data captured in one place, clients have implemented compliance remediation solutions such as trade file reconciliation, post-trade disclosure and customized surveillance alerts.
The Skinny on Form CRS
Read what it is, the deadlines, and how to e-deliver to clients.
White Paper: Electronic Disclosure and SEC Requirements
Thompson Hine explains the SEC’s requirements for communicating electronically with clients.
Webinar: Electronic Disclosure and SEC Requirements
Before going digital, learn about SEC’s requirements for communicating electronically with clients.
