InvestorCOM Adds Competitive Intelligence Capability to Investment Product Management App

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ShelfAnalyzer empowers firms to establish a best interest product shelf in support of regulatory requirements.

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InvestorCOM, the leading provider of regulatory compliance software and communications solutions for the financial services industry, today announced the availability of a new competitive assessment capability within ShelfMonitor, InvestorCOM’s product shelf management tool.

ShelfAnalyzer™ empowers wealth management firms to easily evaluate how their products, including mutual funds, segregated funds, ETFs, equities, liquid alternatives, and variable annuities, stack up against their peers using key cost, risk, and return characteristics. For each product, ShelfAnalyzer generates a Peer Rating which enables firms to intelligently assess the competitiveness of their shelf.

This new capability is particularly well-suited for Canadian wealth firms as the Client Focused Reforms (CFRs) implementation deadline approaches. The KYP obligation requires firms to take reasonable steps to ensure the securities or products made available to clients have been periodically assessed, approved, and monitored for significant changes.

Firms that use InvestorCOM’s ShelfMonitor and ShelfAnalyzer technology can automate the processes required to meet these requirements.

In the United States, meeting Regulation Best Interest requirements start with the products a firm makes available to investors. ShelfMonitor and ShelfAnalyzer provide firms with confidence that the products they recommend to clients have been adequately assessed and monitored for change.

“ShelfAnalyzer dramatically simplifies the competitive shelf assessment process for dealers,” said Dave Carr-Pries, VP of Product and Marketing at InvestorCOM. “It removes any bias and provides dealers with a standardized process for evaluating the competitiveness and quality of the products on their shelf.”

ShelfAnalyzer is currently available as part of InvestorCOM ShelfMonitor at no additional charge. The drop-in SaaS solution is a component of InvestorCOM’s compliance platform that includes InvestorCOM PeerCompare which is used by financial representatives to make compliant investment recommendations and to demonstrate they are acting in the best interest of retail clients, and InvestorCOM ComplianceExpress, a document disclosure and delivery engine.

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Karen Makedon
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