Case Study: Large International Investment Bank automates compliant trade document delivery with RR Donnelley

Investment Firm Automates Delivery for Compliance Documents

A Large International Investment Bank faced a compliance challenge for non-U.S. products traded on major exchanges, where clients in European and Asian markets had to receive disclaimer documents before transactions could proceed. The manual process was cumbersome, time-sensitive, and difficult to manage across time zones and busy schedules. RR Donnelley helped address this need with its Business Communication Solutions and PIVOT platform.

RR Donnelley implemented an automated, on-demand document delivery solution that emails the required disclaimer within seconds of a transaction request and also supports follow-up hard copy delivery. The result was a fully automated compliance workflow capable of handling up to about 13,300 on-demand emails per day, helping the bank avoid trade delays and maintain legal and regulatory protection.