Manage and Track Disclosure Activities with Investors using ComplianceExpress

Introducing ComplianceExpress, a platform that makes it easy for advisors to manage and track the e-delivery of disclosure events to investors.

The platform includes robust libraries of up-to-date broker-dealer documentation such as Form CRS, Privacy Policies, and advisor documents such as Form ADV, KYC Forms, Financial Planning documents and more.

ComplianceExpress can be used as a standalone disclosure and recordkeeping solution, or along with InvestorCOM's suite of compliance software solutions.

ComplianceExpress is well suited to help broker-dealers meet the disclosure and record-keeping obligation requirements set out in Regulation Best Interest.