michael.pendergrass
Acronym
InvestorCOM
Product ID
InvestorCOM-ComplianceExpress
Description

Manage document delivery and recordkeeping from a single platform.

Images
Image
ComplianceExpress
Features

Manage document delivery and recordkeeping from a single platform:

  • Create, send and track delivery of compliance documents (Form CRS).
  • Manage all recordkeeping aspects of the disclosure event.
  • Integrated reporting at advisor/client/branch/enterprise level.
Vendors
InvestorCOM Inc.
Management Style
Discount - No
Schwab Products
SIT Provider
Section
Compliance
Ad Hoc Tags
DoubleClick Tags

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