Brokerage and Mutual Funds

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FSSI’s fully auditable confidential investor document printing and mailing solutions were designed for investment management companies to help your firm reduce production costs and compliance risk while delighting and retaining more high-net-worth clients.

We have more than 40 years of financial industry experience and are a trusted partner to the nation’s leading institutions.

Print-Mail Outsourcing Solutions for Investor Communications

We can customize an integrated, regulatory-compliant print-mail solution for all your confidential investor communications, such as:

  • Monthly, quarterly and annual statements of account
  • Trade confirmations
  • Annual Reports and Quarterly Portfolio Reports (QPRs) and disclosures
  • Proxy statements
  • Dividend checks and other MICR printed documents
  • Government reporting documents – IRA reporting (5498, 8606), tax forms (portrait, landscape) or mutual funds-formatted output
  • Investor prospectus documents

Improve Investor Relations Through Outsourcing

Investment management companies that use FSSI’s print-mail services to produce their shareholder communications enjoy numerous strategic, economic and operational benefits. With its unique combination of experience, compliance reporting, and in-house production technology, FSSI can help your company manage its investor relations more effectively:

  • Increase asset and investor retention – Minimize attrition with highly-targeted, customized statements that include personalized, relevant messaging
  • Reduce compliance risk – Through accurate, on-time deliveries, 100% data-to-mail integrity, and a fully-auditable reporting trail, your authorized customer service team can access critical production information online, anytime
  • Stronger multichannel strategy – FSSI’s robust combination of electronic and printed shareholder communications delivery options expands your number of investor touchpoints

A Truly Customized Investor Communications Solution

Bull statue from Wall Street.

When choosing a financial printing solution, flexibility and customization count. With FSSI you can combine any or all these document printing and mailing, marketing or archival services to reduce compliance risk, increase investor retention, and enhance the quality of broker-dealer-investor relations:

  • Exclusive Online Production Reporting Tool – Allows authorized teams to approve files, view real-time job status, and monitor inventory/postage levels; also, view SLA and file completion metrics, as well as detailed forensic analysis with audit trails.
  • Secure Compliance — Job tracking and reporting that provides an accurate, auditable record of shareholder communications production and delivery, while reporting the disposition and location of every unique mailpiece produced by FSSI.
  • Customizable Data Formatting – Enhances the dealer-broker relationship by enhancing document design, color usage, and document composition of investor statements and Quarterly Performance Reports; combines best-in-class development tools with FSSI’s composition/post-composition data-handling expertise to produce critical financial communications that meet your firm’s unique output specifications.
  • Electronic Document Presentment – Offers a flexible array of formatting and presentment options that help you accelerate eStatement adoption; optional eNotify service promptly alerts investors via email or SMS when online statements are ready to view while letting you easily monitor and track open rates and bounces.
  • Letter Template Management – Enables authorized broker-dealers to create and update ad-hoc letters, and other time-sensitive investment documents in MS-Word®, and link to FSSI’s digital printing-and-fulfillment center for production. 100% data-to-delivery, with complete hierarchical control over approvals, revisions and version tracking.
  • Statement Messaging – Provides real-time design control over on-page message-text and graphics to educate, inform and engage customers, in addition to cross-sell and upsell capabilities.

Remain Compliant with Ever-Changing Regulations

SOC 2 Type II Audit Seal.

Government regulations on Wall Street are always changing and evolving. We maintain and constantly update our technological and physical security and data privacy practices. At FSSI, data security and privacy as well as business continuity and disaster recovery are at the core of what we do. We pass annual SOC 2 audits and are HIPAA compliant in both our Santa Ana and Coppell Texas print and mail facilities.  Some of our security practices include:

  • Building security: Includes key cards, door alarms, security cameras, and gated entryways.
  • User/Server Level Security: All data files are secured by user permissions that are enforced by centralized domain policies.
  • Secure Data Standards: FSSI utilizes secure transmission protocols (SFTP) and PGP encryption for files at rest, along with an additional firewall network Intrusion Prevention System (IPS) – in addition to a multi-tiered architecture that separates the web layer from the data layer for added security.
  • Secure Data Archival Options: Several web-based storage and archival options are available. Access to client input is limited to authorized personnel.
  • Document Security: Documents containing personalized or sensitive customer data are deleted or shredded using FSSI’s commercial shredder or stored in a secure location if they are needed for a longer period.
  • Employee Education: Keeping staff well versed and vigilant in data security best practices is a priority at FSSI, from properly handling emails to staying safe online. Regular training via KnowBe4® encompasses relevant security awareness and online cybersecurity topics.
Secure Print and Mail Services Certifications Seals.

Additional Investment Document Processing Services

  • IRS Tax-Form Processing – Secure, timely processing and delivery of critical tax forms, such as 1099s, 1098s, 5498s, and 1042-S; FSSI accepts IRS-format and custom data files, then composes your forms in the format and detail you believe best reflects your investment company.
  • Disaster Recovery & Business Continuity Planning – Includes multiple production facilities to safeguard against data loss from unexpected or catastrophic events.

Direct Mail for Investment Management Companies

We create financial direct mail campaigns from start to finish. Whether you are sending postcards, letters, or other financial mailers, we create scalable tracking campaigns that make an impact. Advanced retargeting and mailing list optimizations help you reach potential customers that are ready to convert.

Regulatory compliance is important in the financial industry, and we have over 40 years of experience in handling sensitive financial information. We apply that same data handling expertise to the direct mail industry. Whether you are sending out postcards, letters, or any other type of direct mailers, you can expect the same level of data privacy and security.

Financial direct mail can be used for a variety of products or services:

  • Annuities
  • Accounting/CPA
  • Tax advice
  • Financial planning
  • Investments
  • Wealth management

Direct Mail Service Offerings:

  • Postcards
  • Letters
  • Variable data printing
  • Mailing lists
  • Online retargeting and digital marketing automation
  • Online dashboard for campaign tracking and analytics

We offer a data-driven, end-to-end multichannel direct marketing solution. Your direct mail campaign works in tandem with robust digital marketing for stellar results. It includes an automated process that is 100% done for you, with the right promotional activities in place to extend the reach of your financial advisor marketing efforts – including full attribution in an online dashboard for visibility and tracking.

If you are looking to learn more about our advanced direct mail marketing campaigns, visit our marketing services division, Splash.

FSSI Splash Logo.

Get a No-Obligation Investor Consultation Today

Investors, especially high net-worth individuals, have certain expectations about the quality, accuracy, and appearance of their investment statements. Meet these expectations and you’ll have delighted, satisfied customers for a long time to come. Let us help you improve investor retention. Contact us online or call us at (714) 436-3300 today for a no-obligation investor relationship consultation.