What if compliance was easy?
Some wealth firms are choosing to implement a manual program for Reg BI and PTE 2020-02 compliance.
While this is unsustainable in the long term, manual processes also expose the firm to potential operational risks and compliance breaches.
Fortunately, there is an effective and affordable solution that makes it easy for you to …
- Collect investor information.
- Compare 401K plans to IRAs.
- Instantly look up and compare plan costs.
- Automatically capture disclosure and recordkeeping.
- Deliver the recommendation to your client.
- InvestorCOM is the only solution in the market that lets you analyze, document, disclose and deliver investment and rollover recommendations in a single, end-to-end workflow.
- InvestorCOM provides the only platform in the market that lets you meet compliance for both Reg BI and PTE 2020-02.
- Fast implementation – Our cloud-based solution can be up and running in as little as 2-weeks.
- Financial professionals love our platform – it’s very intuitive and fits into their day-to-day workflow.
- We are not expensive – sign up for a free pricing proposal to see for yourself!