Manage recordkeeping transactions and document delivery from a secure, cloud-based platform. Boost operational efficiencies, reduce costs and stay compliant.
Turn Compliance Burden Into Client Trust - Instantly
Financial advisors and compliance teams spend countless hours manually sending, tracking, and storing disclosures and compliance documents. These outdated processes introduce unnecessary risk, slow down advisors, and erode client confidence.
Compliance Express Document Delivery solves this
…by providing a secure, streamlined, and fully trackable way to manage all your critical compliance documents – in just a few clicks. Include documents such as:
- ‣ Form CRS (Customer Relationship Summary)
- ‣ Reg BI Disclosure (Conflict Disclosure)
- ‣ ADV Part 2A and 2B
- ‣ Privacy Notice
- ‣ Investment Advisor Agreement
- ‣ Client Profile Worksheet
- ‣ Privacy Policy
- ‣ Conflicts of Interest
- ‣ Policies and Procedures
Why It Matters
🗹 Strengthen Compliance
Ensure every disclosure is delivered securely, confirmed, and archived automatically — meeting the strictest regulatory requirements with ease.
🗹 Empower Advisors
Give your advisors back their time. No more manual emails, paper trails, or uncertainty. They can focus on what matters most: serving clients.
🗹 Build Client Trust
Clients expect transparency and seamless digital experiences. Provide proof that you act in their best interest, and reinforce confidence in every interaction.
How It Works
1. Upload
Easily upload important disclosures and compliance documents, including custom forms like
2. Send & Track
Send documents securely to clients. Instantly track when they are delivered, opened, and read — all in real time.
3. Archive
Automatically archive all documents and interaction history in a secure, audit-ready repository. Easily access records when you need them.
What You Get
Digital Delivery & Confirmation: Send disclosures digitally and verify receipt with audit-ready tracking.
Automated Archiving: Reduce manual storage headaches with secure, automated records.
Version Control: Always share the latest version while keeping historical copies for audit purposes.
Compliance Oversight: Supervisors and CCOs can monitor delivery and receipt across the entire advisor network.
Enhanced Client Experience: Deliver a modern, transparent, and frictionless client journey.
Transform Compliance into a Strategic Advantage
When compliance is easy, advisors spend more time with clients, firms reduce risk, and clients gain confidence in every recommendation.
See It In Action
Or learn more about how Compliance Express Document Delivery can simplify your oversight and elevate client trust.
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.
