Print and Mail Outsourcing for Brokerage and Mutual Funds

FSSI specializes in secure, confidential, and fully auditable printing and mailing solutions designed to meet the unique needs of investment management companies. We deliver high-quality investor communications that help your firm optimize production costs, maintain compliance, and strengthen client relationships, critical for retaining high-net-worth investors.

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

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 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

Investor Document Samples

Take a deeper look at our statement processing, printing and mailing services.

What Types of Investor Communications Are Produced at FSSI?

Tailored to meet the unique needs of investment management companies, FSSI provides customized, regulatory-compliant print-mail solutions for all confidential investor communications, including:

• Monthly, quarterly and annual statements
• 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 printing and mailing

Print-Mail Outsourcing Solutions for Wealth Management Companies

Improve Investor Relations Through Outsourcing

Investment 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 investor communications delivery options expands your number of investor touchpoints
  

A Customized Investment Communications Solution

When choosing a financial printing solution, flexibility, and customization count. With FSSI you can combine any or all of these document outsourcing, marketing and 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 boosting the impact and appearance of investment statements and Quarterly Performance Reports; combines best-in-class development tools with FSSI’s composition/post-composition data-handling expertise to produce 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 Financial Regulations

Navigating the ever-evolving landscape of regulatory directives from entities like the FDIC, CFPB, and other overseeing agencies is a dynamic challenge within the investment management sector. We consistently refine and upgrade our digital and physical safeguards, along with stringent data privacy measures. The protection of personal identification details and crucial member information is paramount to us, aligning seamlessly with the priorities of the financial organizations we serve.

At FSSI, we prioritize data protection, privacy and maintain a deep commitment to business continuity and disaster recovery. FSSI’s dedication is reflected in the successful completion of yearly SOC 2 evaluations and the stringent enforcement of HIPAA compliance at both our Santa Ana, California, and Coppell, Texas printing and mailing centers. Our comprehensive data security measures encompass:

• Building security
• User/server-level security
• Secure data standards
• Secure data archival options
• Document security
• Ongoing employee training

This robust approach ensures the security and integrity of data, providing a foundation of trust for our company and the financial institutions we partner with.

Additional Compliance Document 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 and 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 who 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.

Get a No-Obligation Investor Communications Consultation Today

Our state-of-the-art processes and technology empower us to ensure 100% data-to-document integrity and precision at every stage. Whether you’re targeting specific clients or enhancing your overall communication strategy, we can assist your mutual fund company in creating impactful documents that drive action and provide a robust return on investment. Let us support your investment management business with an outsourced print and mail solution that helps in securely processing:

• Investment statements
• Strategic marketing communications
• Financial reports
• Electronic statements (eStatements)
• Monthly newsletters
• Multichannel direct mail campaigns

Investors, especially high-net-worth individuals, have certain expectations about the quality, accuracy, and appearance of their investment statements. Connect with us online or call us at 714.436.3300 today for a no-obligation consultation. We offer product demos and reviews of your existing documents to ensure your communication strategy aligns seamlessly with your investor communications objectives.