Compliance Solutions
Comprehensive compliance documentation library and integrated software solutions to check investor suitability and enforce compliance rules during transactions
Learn more about how our solutions can support your success
iCompliance
Comprehensive online library of US compliance-related certificates, including QIB, FINRA 5130/5131, 2111, Reg S, 2242, and SMMP — plus integration services that put them at your fingertips when you need them

- Instant access to thousands of certificates from investors around the globe in a centralized library
- Includes certificates required across equity and debt, for both new issues and secondary trading
- Ability to request certificates directly within the iCompliance application, with quick turnaround
- Available as a standalone application or integrated with Ipreo bookbuilding and CRM platforms
- Custom integration available with client CRM solutions, including data mapping and electronic feeds
iProspectus
Full-service electronic document delivery and tracking system for Equity, Fixed Income, Municipal, and Syndicated Loan new issues.
Streamline the delivery of pre-allocation documents and reduce the cost of issuance associated with the printing and mailing of hard copies
Comply with all SEC/MSRB requirements associated with electronic disclosure. Ipreo has been the leader in this process for more than 15 years
Capture a complete audit trail, including delivery date/time, bad email addresses, and archive to meet retention requirements
Muni Issuer Check
Direct access from Ipreo applications to muni bond reports to facilitate Time of Trade disclosure and Five-Year Lookback requirements.
Save time spent formatting pitch books and crunching & formatting raw data
Customize your templates and specify how you want the data displayed
View a list of requests and confirmed meetings once the coordinator has released the information
Choose to export into either PDF, Excel, Word or PPT