2026 Compliance Checklist for Wealth, Retirement & Advisory Firms

Resources
Expect More. Prepare Smarter. Stay Ahead. As regulatory expectations intensify across wealth and retirement, firms are under pressure to demonstrate stronger oversight, clearer disclosures, and more consistent, data-driven decision-making. The 2026 Compliance Readiness Checklist distills emerging priorities from the SEC, DOL, FINRA, and industry conversations—helping compliance teams focus on what matters most. This practical guide [...] Read More

Navigating the SEC’s 2026 Examination Priorities: A Roadmap for Broker-Dealers and Investment Advisers

Blog

As the financial services industry braces for heightened supervisory scrutiny, the SEC’s Division of Examinations (“the Division”) released its Fiscal Year 2026 Examination Priorities, a clear signal of where attention will be focused.   Two themes stand out for retail facing firms:  Retail sales practices of broker-dealers (especially around account, product and rollover recommendations) and […]

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Product Pulse: Scaling Compliant Annuity Recommendations with PeerCompare Annuities

Blog
A Growing Market – and a Growing Responsibility A generation of retirees is redefining what it means to plan for income and stability. As demand for annuities and defined retirement outcomes continues to rise, so does regulatory attention on this complex and growing market. Advisors and firms are navigating evolving suitability, exchange, and best-interest requirements [...] Read More

Advancing Regulatory Agility in Canada: Key Takeaways from the 2025 CRTA RegTech Conference

Blog
This week, members of the InvestorCOM team attended the Achieving Regulatory Agility – Innovating Canada’s Future conference, hosted by the Canadian Regulatory Technology Association (CRTA). The event brought together leaders from regulatory bodies, financial institutions, and the technology community to discuss how Canada can navigate an increasingly complex landscape of regulatory change, emerging risks, and accelerated AI [...] Read More

Navigating Uncertainty: Key Takeaways from the 2025 NSCP Annual Conference

Blog
The 2025 NSCP National Conference gathered compliance professionals from across the industry to discuss one persistent truth – enforcement and examinations have not gone away. Even amidst shifting political priorities and administrative transitions, regulators remain focused on protecting investors, ensuring transparency, and holding firms accountable. While the tone of enforcement may evolve, the expectation of [...] Read More

InvestorCOM Partners with Snowden Lane Partners to Advance Compliance Excellence

News

InvestorCOM is proud to announce its partnership with Snowden Lane Partners, one of the fastest-growing hybrid independent wealth advisory firms in the U.S. This collaboration reinforces a shared commitment to empowering advisors with modern compliance technology and supporting firms in meeting evolving regulatory standards such as Regulation Best Interest (Reg BI) and the Department of […]

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2026 Compliance Readiness: Expect More, Prepare Smarter

Events
The Convergence Era: How Compliance, Wealth, and Retirement Planning Are Reshaping the Future of Advice in 2026 The Industry Is Entering Its Most Transformative Convergence Yet Wealth management, retirement advice, and compliance have traditionally operated in adjacent but separate lanes. That separation is disappearing. In 2026, firms are entering a convergence era – where regulatory [...] Read More

The Future of Financial Advice Is Integrated

Blog
Wealth, Retirement, and Rollover Innovation Are Powering the Next Era of Advisor Growth Across the wealth and retirement landscape, one message is growing louder: integration drives growth. Advisors who once treated retirement and wealth management as separate disciplines are now connecting them into a single, technology-enabled client experience – one that’s compliant by design and [...] Read More

Seamless Compliance. Growth made possible.

Blog

The British Columbia Securities Commission (BCSC) recently released its 2024 Compliance Report Card, offering valuable insights into how firms are adapting to the Client Focused Reforms (CFRs). Two themes emerged as particularly challenging for registrants:  Know Your Product (KYP)  Assessing a Reasonable Range of Alternatives  Both requirements go to the heart of putting clients’ interests […]

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Tap into the $1.3 Trillion Rollover Opportunity

Events
On-Demand Webinar Compliance and Growth in the Rollover Opportunity The retirement landscape in North America is shifting rapidly. With an estimated $1.3 trillion in annual rollover activity on the horizon, wealth management firms are being presented with both extraordinary growth prospects and heightened regulatory expectations. This InvestorCOM webinar explores how firms can navigate this environment [...] Read More