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InvestorCOM Named One of Canada’s Top Employers for 2021

News April 6, 2021

Recognized as one of Canada’s Top Small and Medium Employers for the third year.   Toronto, ON, April 6, 2021 – InvestorCOM, the leading provider of regulatory compliance software and communications solutions for the financial services industry, today announced that the company has been named one of Canada’s Top Small & Medium Employers (SMEs) for […]

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Reg BI: A Dialogue with Issa Hanna, Eversheds Sutherland

Blog April 1, 2021

Issa Hanna, Counsel at Eversheds Sutherland recently spoke with InvestorCOM’s Parham Nasseri to discuss Regulation Best Interest (Reg BI), specifically: What we can take away from the initial round of Reg BI exams. What hints the regulators have given about how they plan to approach the next round of Reg BI exams. Why regulators are […]

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Webinar: Reg BI Exams – The Care Obligation

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Brokers and advisors need to prepare now for Reg BI enforcement from the SEC. Firms must adjust their practices and processes for complying with the Care Obligation and the requirement for financial professionals to assess reasonably available alternatives when making a recommendation. Given the principled-based nature of the requirement, there have been many questions surrounding […]

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Reg BI: A Dialogue with Tom Selman, Scopus Financial Group

Blog March 25, 2021

Recently, InvestorCOM had the pleasure of speaking with Tom Selman, Founder of Scopus Financial Group and former Executive Vice President of FINRA’s Regulatory Policy Division.  In this dialogue, Tom discusses the emergence of Reg BI, what we’ve learned to date, and what firms should focus on.   ***   Parham Nasseri (PN): Tom you’re a […]

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The ROI of Compliance Technology

Blog March 24, 2021

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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Materiality Index: Monitor for Significant Change

Blog March 11, 2021

The Client Focused Reforms and the introduction of the new KYP requirements place an explicit obligation on firms to reasonably assess, approve and monitor the securities (or products) made available to clients for significant change. Given the principles-based nature of the regulatory expectations, the ‘reasonable’ actions taken by each firm will depend on a number […]

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Fintech Innovator Rob Dearman Joins InvestorCOM’s US Advisory Board

News March 11, 2021

Rob Dearman has a track record of developing and applying innovative technology to solve complex financial services business problems.   Toronto, ON, March 11, 2021 – InvestorCOM, the leading provider of regulatory compliance software and communications solutions for the financial services industry, today announced that Rob Dearman, Founder and Chief Innovation Officer at DCG Insight […]

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A Summary: SEC’s 2021 Examination Priorities and Reg BI

Blog March 10, 2021

On March 3, the SEC’s Division of Examinations (DOE) released its eighth annual publication, highlighting the 2021 examination priorities. The report outlined the key risks, trends, and priorities to improve compliance and enhance investor protection. While much of the priorities resembled last year’s report, the 28 pages serve as a healthy reminder for those functioning […]

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Debra Foubert, OSC Discusses the Client Focused Reforms

Blog March 8, 2021

Over the past twelve months, InvestorCOM has hosted several forums for firms to exchange ideas on how they plan to meet the new KYP and enhanced suitability requirements of the Client Focused Reforms (CFRs). These discussions have provided many of our clients with insights on how to implement the requirements with confidence. Recently, Debra Foubert, […]

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Client Focused Reforms: A Dialogue with Richard Roskies, AUM Law

Blog February 16, 2021

Over the course of the Client Focused Reforms (CFR) journey, InvestorCOM has hosted a series of virtual forums for wealth management leaders to better understand the nuances of the regulation, openly discuss compliance challenges, and consider viable strategies for meeting the regulations. Anchored by these discussions, on February 2 2021, InvestorCOM hosted leading industry experts, […]

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Recent Posts

  • InvestorCOM Named One of Canada’s Top Employers for 2021
  • Reg BI: A Dialogue with Issa Hanna, Eversheds Sutherland
  • Webinar: Reg BI Exams – The Care Obligation
  • Reg BI: A Dialogue with Tom Selman, Scopus Financial Group
  • The ROI of Compliance Technology

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