Estancia Capital Partners Announces Strategic Investment in InvestorCOM

Estancia Capital Partners Announces Strategic Investment in InvestorCOM

TORONTO, November 29, 2022 — Estancia Capital Partners announced today they completed a significant investment in InvestorCOM, a leading provider of software and tech-enabled compliance solutions to the asset and wealth management industry. The investment is intended to accelerate InvestorCOM’s continued expansion across North America and globally. “We are excited to partner with Estancia on this […]

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InvestorCOM Wins Top Regional Employer Award for the 5th Year in a Row

InvestorCOM Wins Top Regional Employer Award

For the fifth year in a row, InvestorCOM wins 2023 Hamilton-Niagara Top Employers Award Toronto, ON, November 24, 2022 – 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 2023. The Hamilton-Niagara Top Employers awards […]

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Webinar Q&A

Q&A: DOL’s Fiduciary and Retrospective Review Expectations

InvestorCOM’s webinars provide an excellent forum in which to learn about the latest regulatory requirements from industry experts. Our November 1 webinar, “DOL’s Fiduciary and Retrospective Review Expectations”, featured industry experts from DFPG Investments, Katten, Faegre Drinker and Oyster Consulting. Unfortunately, we ran out of time before the speakers could address every question from the […]

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Measuring the Impact of Reg BI

Measuring the Impact of Reg BI’s Best Interest Requirement

Since coming into force on June 30, 2020, broker-dealers have struggled to define and demonstrate how Reg BI’s Care Obligation assessment of reasonably available alternatives (RAA) is improving client outcomes. With a couple of years of data available, InvestorCOM conducted an analysis to understand if best interest can be measured, and more importantly if it […]

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Regulation Best Interest Case Studies

December 15, 2022 at 1 pm ET FINRA and the Securities and Exchange Commission (SEC) brought their first Regulation Best Interest (Reg BI) enforcements this fall and have stated that they will be zeroing in on firms that don't address and mitigate conflicts of interest and ensure all-in investment costs are reasonable for clients, given [...] Read More
PTE 2020-02 Recap and What We’ve Learned to Date

PTE 2020-02: Recap and What We’ve Learned to Date

InvestorCOM recently chatted with David Porteous from Faegre Drinker, Mitchel C. Pahl from Katten, Craig Watanabe from DFPG Investments, and Ed Wegener from Oyster Consulting LLC to discuss the PTE 2020-02 retrospective review process, how to meet the retrospective review requirements, and how the DOL’s requirements correlate with the SEC’s expectations.  —  Parham Nasseri [PN]: […]

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PTE 2020-02 Retrospective Reviews

PTE 2020-02 Retrospective Reviews

Requirements of PTE 2020-02 To provide perspective on the annual retrospective review for exemptive relief under PTE 2020-02 (“the exemption”), it is helpful for context to review a summary of all the sections of the exemption: Impartial Conduct Standards Best Interest Reasonable Compensation Best Execution No Misleading Statement Disclosure Policies and Procedures Annual Retrospective Review […]

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ComplyConnect Conference & Expo

ComplyConnect Conference & Expo

November 8 – 10, 2022 | Austin, TX InvestorCOM is pleased to be participating at the ComplyConnect Conference & Expo taking place at the Omni Barton Creek Resort & Spa in Austin, Texas. This event provides a unique opportunity for compliance professionals to learn, connect and engage with peers and industry leaders.   Attend a […]

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InvestorCOM Compliance Dashboard Simplifies PTE 2020-02 Retrospective Review Process

InvestorCOM Compliance Dashboard Simplifies PTE 2020-02 Retrospective Review Process

Compliance teams can monitor and analyze their firm’s rollover activity, identify risk-based scenarios for self-correction, and export data for regulatory reports. Toronto, ON, November 1, 2022 – InvestorCOM, a leading regulatory software provider to the wealth management industry, today announced that the company’s rollover application now features a compliance dashboard, making it easier for compliance […]

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Kovack Financial Network Chooses InvestorCOM to Meet the DOL’s PTE 2020-02 Requirements

Toronto, ON, October 24, 2022 – InvestorCOM, a leading regulatory software provider to the wealth management industry, today announced that Kovack Financial Network (“KFN”), an independent broker-dealer and registered investment advisor, will roll out InvestorCOM RolloverAnalyzer across their firm. RolloverAnalyzer is an intuitive app for making best interest rollover recommendations and was developed to help […]

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