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CLIENT FOCUSED REFORMS

Put your clients' interests first

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The Client Focused Reforms (CFRs) require registrants and their representatives to resolve material conflicts in the best interest of their clients, conduct wholistic KYP duties and put their client’s interest first when making investment recommendations.

Key objectives of Client Focused Reforms

Registrant KYP Obligations

Assess, approve and monitor product changes

ShelfMonitor

Registered Rep KYP Obligations

Product education and assessment of product alternatives

PeerCompare

Record-keeping

Document KYP and suitability determinations

ComplianceExpress

Relationship Disclosure

Disclose restrictions, costs and limitations to products & service

ComplianceExpress

How InvestorCOM helps firms meet the CFRs

Best Interest Shelf Management & Monitoring | Rep KYP & Suitable Investment Recommendations | Document Disclosure & Recordkeeping

Monitor and manage your
product shelf for changes

InvestorCOM monitors industry data highlighting material changes on your product shelf enabling you to meet your CFR obligation.

ShelfMonitor generates alerts for material product changes within client holdings.

Alerts let you stay on top of changes to your shelf like never before.

  • Comprehensive log of changes for multiple investment asset classes.
  • Monitor shifts in fees, investment objectives, and more to ensure changes are in keeping with client expectations and product guidelines such as suitability, conflicts of interest, policies & procedures.
  • Monitor product suitability characteristics to ensure changes are aligned with investor portfolios, expectations, and KYC requirements.
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Compare reasonable
product alternatives

The Client Focused Reforms require registered reps to understand the securities (KYP) and consider a reasonable range of alternatives when making recommendations.

PeerCompare takes the guesswork out of KYP.  It is an intuitive educational tool for advisors to understand product characteristics and compare reasonable product alternatives based on configurable investment criteria such as cost, risk and product category.

Investment dealers and advisors track and manage all KYP transactions and disclosures on the platform.

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Manage recordkeeping and delivery from a single platform

ComplianceExpress is a one-stop digital disclosure and recordkeeping platform.

Advisors can seamlessly deliver comparison of alternatives, investment recommendations, RDIs, Mutual Fund Facts, ETFs, Seg Funds, and more to clients electronically and at scale. Track when documentation was sent, received and opened, making the audit process simple and straightforward.

Delivery channels include e-delivery, in-person and print/mail.

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Industry partners

“69% of firms plan to deploy technology to assist with the representative’s requirement to demonstrate KYP, including assessing reasonably available alternatives.”

Insight from InvestorCOM’s Client Focused Reforms Roundtable

“ShelfMonitor keeps us audit ready and efficiently helps us stay on top of changes to the ever-changing investment product landscape.”

President and CEO, Large Mutual Fund Dealer

Read Case Studies

Challenges and Best Practices for KYP Compliance

Assante, Manulife Securities and TD Wealth discuss best practices on how to stay on top of their product shelves.

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Jumpstart your Client Focused Reforms Journey

Find out what firms are doing to prepare their advisors and dealers for the upcoming CFR regulation.

Read Insights

IIROC Firms Discuss Client Focused Reforms

IIROC firms discuss implementation opportunities surrounding the new KYP obligations for dealers and advisors.

Read Report

Ready to meet Client Focused Reforms?

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Contact Sales

 

Ready to meet Client Focused Reforms?

Request a Demo
Contact Sales

Ready to meet Client Focused Reforms?

Request a Demo
Contact Sales

 

Contact Us

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

Who We Help

  • Wealth Managers
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  • Regulation Best Interest
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  • Investment Fund Continuous Disclosure
  • Client Relationship Model

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