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PEERCOMPARE

Make compliant investment recommendations

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Make it easy for your advisors to demonstrate they are acting in the best interest of retail clients. PeerCompare generates a product peer group of reasonably available alternatives comparing cost, risk and return. Deliver compliant investment recommendations to investors, while tracking all activity and relevant notes.

Be confident that your advisors' recommendations are truly in the client's best interest.

An intuitive app that fits in to your advisor's existing workflow.

Identify, compare and recommend suitable investments

How do you know if your advisors’ recommendations are truly in the client’s best interest?

PeerCompare provides advisors with an accurate picture of how their investment recommendation stacks up against its peers.

It generates a product peer group based on similar products on your shelf – including Mutual Funds, ETFs, Seg Funds and Variable Annuities.

Advisors have a clear picture of how their recommendations compare on cost, risk and return – providing them the opportunity to change their recommendations or share them with her client.

Track disclosure and facilitate supervison

When advisors are making an investment recommendation, they use PeerCompare to perform a best interest analysis and to disclose and/or record the transaction for supervision and audit functions.

Use PeerCompare with ComplianceExpress to digitally share investment recommendations with investors and record all activity – including when disclosure was sent, received, and viewed.

Why advisors require technology to make compliant recommendations

It is virtually impossible to meet the new best interest requirements without technology. Let’s look at a simple example:

In a typical day an advisor evaluates or makes five investment recommendations.

Her broker-dealer has an open product shelf of approximately 35,000 investment fund products.  To meet Reg BI requirements, the advisor must consider a minimum of six data or suitability fields when considering reasonably available alternatives (RAA) including fees, risk, performance, time horizon, share class and fund series.

This will require processing over 1,000,000 data points – per day!

“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

“InvestorCOM’s compliance platform is well-suited to help broker-dealers meet many facets of their best interest obligations.”

 

William Trout
Head of Wealth Management Research, Celent

Top Data Challenge Facing Advisors

Meeting the Care Obligation may require advisors to consider one million data points per day.

Read Blog Post

The Future of Compliant Investment Recommendations

How can BDs demonstrate they are acting in the best interest of retail clients when making investment recommendations?

Watch Webinar

Reg BI’s Care Obligation and Reasonable Alternatives

Dealers should pay attention to consideration of Reasonably Available Alternatives when making a recommendation.

Read Blog Post
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InvestorCOM Inc. is listed in the FINRA Compliance Vendor Directory.

See how easy it is to make compliant investment recommendations.

Request a Demo
Contact Sales

See how easy it is to make compliant investment recommendations.

Request a Demo
Contact Sales

See how easy it is to make compliant investment recommendations.

Request a Demo
Contact Sales

InvestorCOM Inc.
55 University Avenue
Suite 704
Toronto, ON
M5J 2H7

+1 (800) 361-9494
info@investorcom.com

Who We Help

  • Wealth Managers
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  • Regulation Best Interest
  • Client Focused Reforms
  • Point of Sale
  • Investment Fund Continuous Disclosure
  • Client Relationship Model

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