INSURERS

Meet compliance obligations and improve client communications

Since 1992, InvestorCOM has been supporting insurers in meeting compliance requirements and communicating more effectively with their clients. Our modular, drop-in solutions are intuitive, cost-effective and fast to implement.

Stay on top of your ever-changing product shelf

Stay on top of material changes on your shelf with custom monitoring and alerts that give you the information you need, when you need it.

ShelfMonitor scans investment products such as mutual funds, ETFs and segregated funds for changes such as sales and fees, management information, product suitability and risk.

Shelf Monitor Summary

Design and deliver compliant communications

Make it easy to demonstrate reps are acting in the best interest of retail clients.

PeerCompare generates a product peer group of reasonably available alternatives that compares data on cost, risk and return for Mutual Funds, ETFs, and Segregated Funds.

Deliver your investment recommendations to investors, while tracking and logging all activity and relevant notes.

Meet recordkeeping and disclosure requirements

Save time and money by sending your regulatory documents electronically to clients.

ComplianceExpress will manage all of your recordkeeping transactions and document delivery from a secure, cloud-based platform.

Boost operational efficiencies and reduce costs while meeting compliance.

Make compliant investment recommendations

Our Client Communication Management (CCM) solution makes it easy to design and deliver compliant client documents – financial statements, trade confirmations and tax slips – across digital and print channels.

Create, customize and deliver marketing documents on demand

Reduce your marketing fulfillment costs by 30-40% by using DOX to order, customize and deliver customized brochures and marketing kits on demand.

DOX delivers cost-effective and easy fulfillment of custom Sales kits so that you can focus on engagement and business development.

“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

“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

“DOX  is a fully managed solution enabling our wholesalers to get out to clients with the right, most relevant materials. The most impactful thing to our marketing department is how DOX has streamlined how quickly we can get out to clients.”

Patrick Crawford
Director, Production of Mackenzie Investments

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.

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InvestorCOM Wins Spot on RegTech100

InvestorCOM recognized as one of the world’s leading 100 RegTech companies by specialist research firm RegTech Analyst.

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