Finity360 Tracker digitizes a set of legacy processes in the financial services industry that will only become more onerous as specific regulations will require customers to acknowledge (not just mail & read) disclosures, investor communications, address changes, etc. These are all legacy processes that are currently in place today and require “scheduled” mailings. The overhead of the publishing, printing, and mailing are reason enough to digitize these processes, but the more important aspect is that there is no current way for Custodians, BD’s or Advisors to track and maintain an archive of acceptance. This will inevitably change. And will strengthen the compliance of any firm as they will have an audit trail of not only sending but accepting these required investor communications.

Highlights

• Manage, process, and track all required investor communications digitally
• Deliver communications between investors, advisors, and back-office that is trackable
• Address form changes to disclosures-event-based and scheduled triggers automate invert communications initiation