InvestorCOM: The Compliance Solutions Partner for Wealth and Asset Managers
Wealth and asset managers today operate in a highly regulated environment, where non-compliance can result in significant fines, reputational damage, and even loss of license. The complexity and frequency of regulatory changes make it challenging for firms to keep up with compliance requirements, especially those that involve client communication, product due diligence, and disclosure.
This is where InvestorCOM comes in. InvestorCOM is a leading provider of compliance solutions for wealth and asset managers, trusted by more than 500 firms worldwide. Its platform offers a range of modules that enable firms to manage their compliance obligations efficiently and effectively, while also providing value to their clients.
Pre-Trade Compliance: Best Interest Starts at the Product Shelf
InvestorCOM's pre-trade compliance module is designed to help wealth managers offer the most competitive, up-to-date products to their clients while ensuring compliance with regulatory requirements. The platform enables firms to assess and compare investments with ease, make best interest product recommendations, and manage account types and rollovers.
One of the key benefits of InvestorCOM's pre-trade compliance module is its ability to help firms assess and monitor the competitiveness of their products. The platform provides insights into how products compare with their peers, helping firms identify areas for improvement and stay ahead of the competition. It also enables firms to make best interest product recommendations based on a client's unique needs and risk tolerance, ensuring that clients receive appropriate advice.
Recordkeeping and Disclosure: Digital Documentation Made Easy
InvestorCOM's recordkeeping and disclosure module enables firms to document and disclose all client communications digitally, ensuring that they meet regulatory requirements. The platform provides a single source of truth for all client-related information, making it easy for firms to access and retrieve data when needed.
One of the key benefits of InvestorCOM's recordkeeping and disclosure module is its ability to help firms streamline their compliance processes. The platform automates many of the manual tasks associated with recordkeeping and disclosure, reducing the risk of errors and freeing up staff time for more value-added activities. It also provides firms with greater visibility into their compliance activities, enabling them to identify potential issues before they become problems.
Research and Insights: Discover the Latest Trends and Best Practices
InvestorCOM's research and insights module provides wealth and asset managers with the latest trends, best practices, and regulatory updates in the industry. The platform features a range of resources, including white papers, webinars, and blogs, that enable firms to stay up-to-date with the latest developments.
One of the key benefits of InvestorCOM's research and insights module is its ability to help firms stay ahead of the regulatory curve. The platform provides firms with access to the latest guidance and interpretations from regulators, enabling them to adapt their compliance processes accordingly. It also enables firms to benchmark their compliance activities against industry best practices, ensuring that they are meeting or exceeding regulatory expectations.
The InvestorCOM Difference: Experience, Innovation, and Commitment
InvestorCOM has been providing compliance solutions to wealth and asset managers for more than 30 years, making it one of the most experienced providers in the industry. Its clients choose it for its innovative technology and deep domain knowledge, which enable it to develop solutions that meet the unique needs of its clients.
One of the key benefits of InvestorCOM is its commitment to its clients' success. The platform is designed to be easy to use and easy to implement, with modular solutions that can be implemented in as little as two weeks. It also provides clients with dedicated support and training, ensuring that they get the most out of the platform.
InvestorCOM is a leading provider of compliance solutions for wealth and asset managers, offering a range of modules that enable firms to manage their compliance obligations efficiently and effectively. Its pre-trade compliance module helps firms offer the most competitive