Navigating SEC’s Best Interest Expectations: Technology Enhancing Compliance & Growth for Wealth Firms
In the ever-evolving landscape of financial services, regulatory compliance stands as a cornerstone for ensuring transparency, trust, and accountability. The U.S. Securities and Exchange Commission (SEC) plays a pivotal role in setting standards of conduct for broker-dealers and investment advisers (RIAs).
Read MoreUnderstanding SEC’s 2024 Exam Priorities & Enforcement Agenda – Account Type Recommendations
New Department of Labor (DOL) Fiduciary Rule: Embracing New Regulatory Requirements
The US Department of Labor (DOL) released its new fiduciary rule proposal on October 31. InvestorCOM hosted the wealth industry’s trusted experts to share their experience and insights on how the industry can handle new regulatory requirements, including the DOL’s new proposal. Dawn Thomason, Chief Compliance Officer, USA Financial This has been going back and […]
Read MoreInvestorCOM Wins Top Employer Award
For the sixth year in a row, InvestorCOM wins the 2024 Top Employers Award Toronto, ON, November 23, 2022 – InvestorCOM, the leading provider of regulatory compliance software and communications solutions for the financial services industry, announced today that the company has been named one of Hamilton-Niagara’s Top Employers for 2024. The Hamilton-Niagara Top Employers Awards […]
Read MoreUnderstanding SEC’s 2024 Exam Priorities & Enforcement Agenda
Navigating Compliance and Enhancing Financial Decision-Making with AccountCompare
Implementation of Client Focused Reforms and Impact of Limited Product Shelves
On November 16, The Ontario Securities Commission (OSC) published its proposed Statement of Priorities for 2024-2025 year. One of the key priorities include the OSC’s focus on the implementation of the Client Focused Reforms (CFRs). The excerpt below highlights the details of the proposal, including the actions and planned outcomes by the OSC.
Read MoreAI has arrived in wealth management
I recently asked one of the leading GPT (generative pre-trained transformer) platforms how artificial intelligence (AI) is changing the wealth management industry.
Read MoreInvestorCOM Wins Best Wealth Management Regulatory Solution Award
InvestorCOM secures its second CRTA win in three years. InvestorCOM, a leading regulatory software provider to the wealth management industry, announced its platform was named the Best Wealth Management Regulatory Solution winner in the 3rd Annual Canadian RegTech Awards (CRTA). The Best Wealth Management Regulatory Solution award recognizes a solution used by wealth management firms […]
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