Brokerage & Mutual Fund Print and Mail Services

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Managing investor communications at scale is complex. From regulatory filings to shareholder statements, broker-dealers and mutual fund companies need a print and mail partner that understands compliance, accuracy, and speed.

FSSI has processed millions of financial documents for investment firms across the country, delivering secure, on-time investor communications backed by SOC 2 + HITRUST CSF certification and HIPAA-compliant workflows.

With over 45 years of experience in financial document printing, FSSI is a trusted partner to many of the nation’s leading investment firms.

FSSI produces a full range of financial documents for investment management firms, including:

  • Account statements and trade confirmations — printed and mailed on a daily, monthly, or quarterly cycle
  • Mutual fund prospectuses and fund fact sheets — with high-volume production capabilities
  • Shareholder communications outsourcing — for proxy materials, annual reports, and regulatory disclosures
  • 1099 and tax form printing and mailing — with strict IRS deadline compliance
  • Welcome kits and new account fulfillment — for onboarding packages
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Investor Document Samples

We produce a wide variety of investor portfolio communications.

Statement Printing and Mailing
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Built for Strict FINRA, SEC, and IRS Compliance

Compliance is an operational mandate. Our facility controls and document composition engines are designed around the regulatory compliance workflows governing broker-dealers and investment advisers.

Audit Trails

Complete digital proof-of-mailing archives and job tracking give compliance teams instant verification for regulators and internal audits.

Intelligent Mail Barcoding (IMB)

Every envelope is tracked piece-by-piece as it moves through the USPS postal stream, establishing definitive proof of delivery attempts.

Automated Document Factory (ADF) Quality Checks

Inline optical scanners read 2D data matrix barcodes on every sheet. The system matches accounts dynamically, preventing page mismatches or double-stuffed envelopes.

Multichannel Investor Delivery: Secure eDelivery & Print Fallback

Investors increasingly expect immediate digital access, but regulatory mandates often require print fallback. FSSI eliminates the friction of managing two separate workflows.

Our document distribution engine ingests your data once and splits output based on investor preference:

  • Secure Web Delivery & Archival: Deliver trade confirms, shareholder notices, and tax forms through an encrypted, mobile-friendly investor portal.
  • Automated Print Fallback: If an email notification bounces or an eDelivery consent is revoked, the system routes the record into the print stream automatically. Your firm remains compliant without manual administrative intervention.
  • Unified Reporting Dashboard: Compliance teams access a single pane of glass to view open rates, bounce logs, physical mailing manifests, and delivery timestamps.
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Scaled Production Infrastructure and Business Continuity

Operational disruptions can trigger severe regulatory penalties. FSSI maintains redundant production facilities across four strategic hubs:

  • Santa Ana, California
  • Coppell, Texas
  • Lincoln, Rhode Island
  • Orlando, Florida

This multi-site footprint provides automatic load balancing for peak volume periods like January tax runs and mutual fund annual report cycles. If extreme weather or unexpected events hit one facility, work shifts to another without production downtime.

We are a certified Women’s Business Enterprise (WBE), helping firms fulfill corporate supplier diversity initiatives while upgrading operational security.

Frequently Asked Questions

What certifications does FSSI hold for handling non-public financial data?

FSSI maintains independent SOC 2 + HITRUST CSF certification. Our workflows comply with HIPAA requirements and adhere to data privacy standards for financial institutions, ensuring customer records remain encrypted both in transit and at rest.

How does FSSI handle IRS deadline surges for 1099 forms?

Our redundant facilities in California, Texas, Rhode Island, and Florida use high-speed roll-fed digital continuous-feed color printers and automated inserting systems. This capacity allows us to process millions of tax forms within narrow January and February regulatory windows without backlog.

Can FSSI integrate directly with our portfolio accounting system?

Yes. We accept secure file transfers in standard formats, including flat files, CSVs, XML, and print-ready streams from major custodial platforms and proprietary core accounting engines. Automated data hygiene checks flag formatting anomalies before jobs hit the print floor.

What is the advantage of using Intelligent Mail Barcodes for regulatory mailings?

Intelligent Mail Barcodes (IMb) provide real-time scan data from the USPS. This creates a clear audit trail showing the date, time, and sorting facility where an investor communication was processed, serving as defensible evidence for timely compliance.

Talk With an Investor Communications Specialist

Managing statement production, tax filings, and regulatory disclosures in-house drains operational bandwidth. Working with a general commercial printer creates compliance blind spots.

FSSI provides dedicated print, mail, and digital fulfillment engineered for financial institutions:

  • Brokerage account statements and daily trade confirmations
  • 1099 and annual tax document production
  • Mutual fund prospectuses and tailored shareholder reports
  • Proxy materials and mandatory regulatory notices
  • Secure eDelivery with automated print fallback

Call FSSI at 714.436.3300 or schedule a consultation online to review your current production setup and delivery timelines.