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How to Recommend Variable Annuities with Confidence

Blog January 18, 2021

Reg BI’s Care Obligation requires a financial professional to consider reasonably available investment alternatives (RAA) offered by the broker-dealer (refer to “Reg BI’s Care Obligation and Reasonable Alternatives” for more information on this topic). While some may have implemented an RAA process for assessing mutual fund and ETF recommendations, Variable Annuities (VAs) may present yet […]

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Webinar: Client Focused Reforms and the KYP Challenge

Events January 11, 2021

Webinar: Tuesday February 2, 2021 11.00 am – 11.45 am ET The Client Focused Reforms (CFRs) introduces new Know Your Product (KYP) provisions for investment dealers and their representatives. In a recent wealth management industry survey, we found that the KYP obligations for dealers and advisors are a tangible implementation challenge for many. Attend our […]

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Webinar: 2021 Reg BI Exams & Variable Annuities

Events January 8, 2021

Webinar: Thursday January 28, 2021 1.00 pm – 1.45 pm ET   It has been six months since Reg BI’s best interest standard went into effect. Initially, the regulators required that firms make “good faith” and reasonable efforts to ensure the principles of the regulation were in place.  However, the SEC recently shifted gears. Starting […]

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InvestorCOM Recognized in the 2021 RegTech100 as a Leader in Regulatory Compliance

News December 2, 2020

RegTech100 honors InvestorCOM and its innovative platform for enabling financial firms to stay ahead of the evolving regulatory environment and eliminate regulatory risk. Toronto, ON, December 2, 2020 – InvestorCOM, the leading provider of regulatory compliance software and communications solutions for the financial services industry, today announced that it has been recognized as one of […]

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InvestorCOM Recognized as a Top Employer for the 4th Year in a Row

News November 26, 2020

InvestorCOM is one of 20 companies to win the 2021 Hamilton-Niagara Top Employer Award Toronto, ON, November 26, 2020 – InvestorCOM, the leading provider of regulatory compliance software and communications solutions for the financial services industry, today announced the company has been named one of Hamilton-Niagara’s Top Employers for 2021. The Hamilton-Niagara Top Employers awards is […]

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Client Focused Reforms: the SRO Chapter

Blog November 23, 2020

Last week, the MFDA and IIROC published their much-awaited versions of the Client Focused Reforms (CFRs) (MFDA’s publication – IIROC’s publication). These versions are aimed to amend the Self Regulatory Organization’s (SRO’s) rules to adhere to provincial regulators’ requirements. The combined efforts of the provincial regulators and the SROs are intended to result in a […]

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The ROI of Compliance Technology

Blog November 22, 2020

Under the Securities and Exchange Commission’s (SEC) Regulation Best Interest (Reg BI) rule, broker-dealers (B-Ds) are mandated to act in the clients’ best interest. To do this, they must adhere to their obligations of disclosure, care, conflicts of interest and compliance. With the regulations now in effect, B-Ds have taken steps to achieve various degrees […]

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InvestorCOM Expands US Advisory Board, Appoints Two Finance Executives

News November 22, 2020

Doug Trott and Donna Fontana bring more than six decades of executive leadership and financial services expertise to InvestorCOM Toronto, ON, October 26, 2020 – InvestorCOM, the leading provider of regulatory compliance software and communications solutions for the financial services industry, today announced that Doug Trott, former CEO and Board Chairman of PriceMetrix and Donna Fontana, […]

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Webinar: Electronic Disclosure – SEC Regulations and the Form CRS Business Case

Events October 15, 2020

The recent pressures of the COVID-19 pandemic, combined with growing investor demand for digital communication, have caused financial industry participants to advocate that the SEC shift the default delivery framework for investor communications from paper delivery to electronic delivery. Although the SEC has yet to make that shift, the agency nevertheless permits broker-dealers and investment […]

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Equitable Life and IG Wealth Management Choose InvestorCOM DOX Marketing Platform

News September 14, 2020

InvestorCOM DOX enables users to order, customize and deliver personalized marketing documents and kits on demand, lowering costs and improving the client experience. Toronto, ON, September 14, 2020 – InvestorCOM, the leading provider of regulatory compliance software and communications solutions for the financial services industry, today announced that leading financial services providers, IG Wealth Management […]

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Recent Posts

  • How to Recommend Variable Annuities with Confidence
  • Webinar: Client Focused Reforms and the KYP Challenge
  • Webinar: 2021 Reg BI Exams & Variable Annuities
  • InvestorCOM Recognized in the 2021 RegTech100 as a Leader in Regulatory Compliance
  • InvestorCOM Recognized as a Top Employer for the 4th Year in a Row

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