Rollovers and Reasonably Available Alternatives: Insights from Industry Experts

InvestorCOM recently chatted with Tom Selman, Founder of Scopus Financial Group and Rob Dearman, CEO and Chief Innovation Officer at DCG Insight to discuss the history on rollover recommendations, the drivers behind the growth of the rollover market, and the why behind the regulatory requirement to evaluate reasonably available alternatives (RAA). Parham Nasseri [PN]: Tom, […]

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Best Interest Disclosure Requirements for Rollover Recommendations: A Summary

The U.S. Department of Labor’s (DOL) Prohibited Transaction Exemption 2020-02 (PTE 2020-02), Improving Investment Advice for Workers & Retirees has been in effect for more than a year. However, enforcement of the requirement to provide investors in writing of the specific reasons why a rollover recommendation is in their best interest has been deferred until […]

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NSCP National Conference 2021

NSCP 2022

Meet InvestorCOM at the 2022 NSCP National Conference, on Oct 16-19 2022 in National Harbor, MD. Parham Nasseri, InvestorCOM’s VP of Regulatory Strategy will be presenting at the following session: 9c. BD/IA – FinTech Structure and Registration: Compliance Aligned Innovation (Intermediate) Pre-book a meeting with us to discuss your firm’s regulatory challenges and how to […]

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The Rollover Tidal Wave Is Coming – Are You Ready

The Rollover Tidal Wave Is Coming – Are You Ready?

Rollovers from employer-sponsored plans are one of the greatest sources of dollars flowing into individual retirement accounts (IRAs), with more than half of retirees choosing an IRA rollover. According to a study by LIMRA’s Secure Retirement Institute, IRA rollovers represented about $565 billion in 2019 and swelled to $623 billion in 2020, with the wave […]

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RIA in a Box Partners with InvestorCOM

RIA in a Box Partners with InvestorCOM to Help Advisory Firms Meet the Department of Labor’s PTE 2020-02 Rollover Requirements

Registered investment advisers can now make compliant rollover recommendations using InvestorCOM RolloverAnalyzer™ Cleveland, Ohio, May 25, 2022 – RIA in a Box, a leading Software-as-a-Service (SaaS) provider of compliance and operational software to the wealth management industry, has announced a partnership with InvestorCOM, a leading provider of regulatory compliance software for the financial services industry. […]

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PTE 2020-02 – Regulatory Compliance, Technology & Growth Opportunities

On-Demand Webinar   With the Department of Labor’s PTE 2020-02 deadline approaching and the SEC’s Reg BI examinations ramping up, some firms may be tempted to address the regulatory requirements using manual or band-aid solutions. Watch this on-demand Webinar to hear industry-leading compliance and regulatory practitioners discuss the opportunities and challenges related to meeting the […]

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RFG Advisory Turns to InvestorCOM to Meet Rollover Requirements

RFG Advisory Turns to InvestorCOM to Meet Rollover Requirements

Award-winning hybrid RIA to implement InvestorCOM’s RolloverAnalyzer to assess, disclose and document best interest recommendations.   Toronto, ON, May 9, 2022 – InvestorCOM, a leading regulatory software provider to the wealth management industry, today announced that RFG Advisory, a hybrid RIA for independent advisors, will use InvestorCOM’s RolloverAnalyzer application to meet the SEC’s Regulation Best […]

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PTE 2020-02: The Case for Deploying Compliance Technology

The Department of Labor’s (DOL) Prohibited Transaction Exemption 2020-02 (PTE 2020-02) has been in effect since February 2021, allowing financial professionals to receive compensation for rollover recommendations providing that their advice meets a set of best interest requirements. The DOL’s grace period for enforcing specific documentation and disclosure requirements will end on June 30, 2022. […]

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Envestnet Advisor Summit 2022

Envestnet Advisor Summit 2022

Meet InvestorCOM at the Envestnet Advisor Summit, May 11-12, 2022. Travis Champion, VP Business Development and David Reeve, CEO will be attending. Book a meeting with us to discuss your firm’s regulatory challenges and how to turn compliance into an opportunity.    

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Leveraging compliance to grow your assets

Leveraging Compliance to Grow Your Assets

Our industry has seen a wave of compliance regulations in the last few years, often described as a tsunami. While the client-focused reforms (CFRs), considered to be the most significant wealth reform in decades, have added to the list of compliance challenges that advisors and firms face, they can also be leveraged for business growth. […]

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