Navigating Reg BI: The Top 3 Insights from SIFMA C&L Annual Seminar

As conference season kicks off, the InvestorCOM team recently had the opportunity to participate in the SIFMA C&L Conference, a pivotal event in the financial industry. Amidst discussions on the evolving landscape of regulatory compliance, particularly in the wake of Regulation Best Interest (Reg BI), there were remarkable insights and new concepts unveiled that are […]

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InvestorCOM Elevates Parham Nasseri to President

InvestorCOM is proud to announce the appointment of Parham Nasseri to President effective immediately.  Over the last four years, Parham has taken on increasing responsibility and driven outstanding results.  In his new role, Parham is responsible for Regulatory Strategy, Marketing, Product Management/Development and Customer Success. Several of Parham’s achievements over the last four years include […]

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Navigating CIRO Exam Priorities and Focus Areas

On-Demand Webinar >>> On March 12, 2024, the Canadian Investment Regulatory Organization (CIRO) revealed its exam priorities for the year. These priorities shed light on the focus areas for upcoming exams across all dealers, particularly emphasizing the second phase of the client-focused reforms (CFRs).   In collaboration with the Canadian Securities Administrators, CIRO’s examinations will delve [...] Read More

Reg BI Case Studies: Assessing Reasonably Available Alternatives

On-Demand Webinar >>> FINRA and the SEC have underscored their focus on firms' adherence to Regulation Best Interest (Reg BI), with an emphasis on the care obligation that requires firms to evaluate reasonably available alternatives (RAA). Facing more intense scrutiny than ever before, firms must evaluate their compliance processes when it comes to the care obligation.  [...] Read More

Compliance Insights: Master CIRO Exam Preparation with InvestorCOM

On March 12, 2024, the Canadian Investment Regulatory Organization (CIRO) published their exam priorities for the year and what the areas of focus will be during upcoming exams for all dealers. This year’s exams of both mutual fund and investment dealers will include a focus on the second phase of the client focused reforms (CFRs).  […]

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InvestorCOM Wins 2024 WealthTech Americas Award for Innovative Compliance RegTech Product

InvestorCOM’s innovative technology secures its second WealthTech Americas Award win in two years for helping financial professionals assess, document and disclose best interest investment and rollover recommendations. Toronto, ON, February 22, 2024 – InvestorCOM, a leading regulatory software provider to the wealth management industry, today announced that its compliance platform was named the winner of […]

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InvestorCOM Introduces Account Recommendation Application to Wealth Compliance Platform 

AccountCompare ensures the rationale for account recommendations are in the investor’s best interest, digitally documented and aligned with the firm’s policies.  Toronto, ON, January 30, 2024 – InvestorCOM, a leading wealth compliance software provider, today announced that its powerful compliance platform now features an account analysis application to help financial professionals ensure the account type is […]

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Peer Rating: Simplifying the Process of Comparing Reasonably Available Alternatives

InvestorCOM’s Peer Rating metric was developed to simplify the process of comparing Reasonably Available Alternatives (RAA) for investment product selection, supporting the SEC’s Reg BI Care Obligation and the Client Focused Reforms in Canada. Peer Ratings are an integral feature within the PeerCompareTM and ShelfAnalyzerTM compliance applications. Regulatory Expectations Regulators expect financial professionals to consider […]

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