Regulation Best Interest (Reg BI) introduces many new requirements for broker-dealers and investment advisors that will affect the way you do business and communicate with your customers. Reg BI is challenging and will inevitably inject a little chaos into the day-to-day operations of the wealth management industry.

Docupace’s comprehensive paperless compliance solution enables you to simplify Reg BI compliance. Firms can now confidently ensure compliance, reduce headaches, and save money in the long run.

• Make more time for what matters. With electronic delivery and workflow automation, advisors can spend less time on paperwork and get back to their clients.
• Achieve compliance with confidence. Our Reg BI disclosure solutions comply with all relevant FINRA and SEC regulations.
• Reduce compliance-related expenses. Minimize the costs associated with printing, mailing, faxing, filing, records maintenance, and data entry.

Docupace streamlines managing Reg BI compliance for your entire firm. With a centralized and secured cloud-based platform for managing digital operations, broker-dealers, RIAs, and advisors can simplify Reg BI compliance requirements with electronic delivery, workflow automation, compliant storage, digital experience, and acknowledgment capabilities.

• Convert Form CRS and other disclosures into true digital workflows
• Store records in a hyper-secure 17a-3 and 17a-4 compliant digital cloud vault
• Maintain a full audit trail and reporting capabilities
• Leverage true cloud-based WORM storage
• Auto-mail disclosures if investors don’t view them electronically