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Compliance countdown: June 30, 2020

Our solutions help you meet Reg BI obligations and deliver an on-demand Form CRS with ease.


0 Days
0 Hours
0 Minutes
0 Seconds

Compliance countdown: June 30, 2020

Our solutions help you meet Reg Bi obligations and deliver an on-demand Form CRS with ease

Are you using Reg BI to drive growth?

Compliance can be a burden, but also an opportunity. Discover how to use Reg BI to enhance the client experience, differentiate your firm, and accelerate growth.




Reg BI White Paper

How Reg BI impacts your firm

Regulation Best Interest (Reg BI) is designed to protect investors by increasing the transparency and accountability of their investment advisory professionals. Your advisory firm will have to monitor client communications with an eye to Reg BI compliance.

If you have to rely on manual processes or multiple systems that aren’t integrated, compliance could be cumbersome … and potentially expose your firm to the risk of not properly meeting the SEC’s new requirements. PureFacts provides friction-free solutions that help you meet your Reg BI and Form CRS obligations with confidence and ease.

Five obligations of Reg BI


Provide clients and the SEC with a summary of your relationship and fees.

Duty of Care

Demonstrate you’ve put the client’s interests first. Explain risks & costs of recommendations.


Ensure you comply with every phase of Reg BI.

Conflict of Interest

Mitigate any conflicts of interest that don’t put your clients first.


Provide timely disclosure of material facts about the products and services you provide.

No friction. No fuss. Our solutions help you comply with confidence.

Compliance & Operations

Implement tailored risk rating & algorithm

We provide the flexibility to implement your own proprietary risk rating and algorithm at overall client, individual client objective, and product levels.

Integrate seamlessly with current systems

Integrate the solution with your existing tech stack, including client book of record, product shelf, risk algorithms and portfolio management systems.

Facilitate audit-readiness & recordkeeping

Empower your compliance teams to monitor regulatory and operational risk. Always be audit-ready.



Match product risk and cost with investor objectives and present alternatives that are within risk tolerance.


Customize your own Form CRS template or layered documentation, or use our default form. Gain access to the generated documents seamlessly per account or household through PureFacts or any integration with your distribution software.

Improve conversations with visual interface

Our modular solutions enable better quality advisor conversations through an intuitive, highly visual interface.


Focus on client objectives & progress

Our flexible platform ties your product recommendations to a clients risk profile and objectives, and helps them track their progress.


No hidden screens or fine print. Our shared screens enable advisors to collaborate with clients to review their objectives and recommend suitable products.

Provide full fee & product transparency

Advisors can reinforce the value of their advice with total transparency around fees and disclosures. Clients can see how product recommendations align with their best interests.

Our wealthtech solutionshelp you meet Reg BI obligations with ease.

Our wealthtech solutions help you meet Reg BI obligations with ease.


  • “We recommend PureFacts as a strong partner that will work alongside clients to deliver successful business solutions.”

    SVP, Head of Operations, Canaccord
  • “PureFees was implemented on the PureFacts cloud offering. Their cloud environment has been in use daily and enjoyed excellent dependability and availability.”

    SVP, Head of Operations, Canaccord
  • “Our implementation was so fast and simple … plus we love the look of our new statements so much, we want to submit them for an award!”

    Managing Director, Desjardins Wealth Management
  • “PureFacts helped us craft a fee-based platform that simplifies the life of advisors and contributed largely to our firm’s shift from transactional to fee-based.”

    Vice President, Wealth Management Solutions, National Bank Financial
  • “PureFacts has been doing a good job of meeting expectations when delivering new software and their responsiveness towards our IT teams is clearly above average.”

    Vice President, Wealth Management Solutions, National Bank Financial
  • “PureFacts’ business analysts really understood our reality and challenges while being always proactive. They’re quick on their feet and do the extra mile to fix accurately any temporary discrepancies with the application.”

    Vice President, Wealth Management Solutions, National Bank Financial
  • “PureFacts has proven to be a willing and able partner, working with us to understand our requirements and performing analysis, development and implementation phases to upgrade existing products or install new products.”

    SVP, Head of Operations, Canaccord Genuity Wealth Management

Learn more about our regulatory compliance and communication expertise.