In a recent article on loyalty programs, solutions provider Colloquy stated that that 81% of consumers know that their data is an asset to organizations but that 67% of those same consumers do not feel they are getting any benefit for sharing it. In our opinion, this shortcoming isn’t just indicative of loyalty programs, but of marketing […]
Read More
The pending Point of Sale (POS3) regulatory deadline (May 2016) is keeping compliance professionals busy designing new workflows and evaluating solutions that support a shift from the Back Office to the Front Office. This is driving a major change in how compliance is managed and also the speed at which all compliance events must be […]
Read More
I read a blog post recently on innovation called “Where To Look For The Next Big Thing” which was a great reminder for all of us in the technology field who specialize in any business vertical – whether it’s financial services, automotive or consumer packaged goods. All of us have an opportunity to bring new […]
Read More
The CSA letter published on January 28, 2015 said that CRM2 amendments scheduled to come in to force on July 15, 2015 have been extended to December 31, 2015 in response to an IIAC letter managing director Barbara Amsden sent to the CSA on December 20, 2014. This gives dealers an additional 6 months to […]
Read More
Financial advisors need to adopt and leverage new technology strategies to reach a younger audience Young adults aren’t saving their money, and while governments may be trying to educate students by integrating financial literacy into the school curriculum, the financial planning process remains a fairly dry subject for most. In turn, financial advisors need […]
Read More
This article points out 6 regulatory opportunities – strategies that help wealth managers turn regulation into customer upside. Our customers are implementing some of these ideas ahead of POS Stage 3 – and taking advantage of opportunities that include e-migration, improved customer experience and improved communications. Every industry player must comply so why not turn a […]
Read More
December 12, 2014, TORONTO – The Canadian Securities Administrators (CSA) released the final rule amendments on Point of Sale Disclosure for Mutual Funds: Pre-Sale Delivery of Fund Facts (POS 3) on December 11, 2014. The rule can be found on the Ontario Securities Commission’s web site or by clicking here. Click on the button below for an […]
Read More
The CSA published their final amendments to the Stage 3 POS Fund Facts Pre-Sale Delivery rule yesterday. This is the final stage of the POS regulation, tabled more than ten years ago in a Joint Forum framework in 2003. Please click here to see the final rule.
Read More
December 2, 2014, TORONTO – InvestorPOS announced today that as part of its brand evolution it has changed its company name to InvestorCOM. InvestorCOM is the same company that in 2010 introduced its innovative Point of Sale (POS) compliance solutions under the InvestorPOS brand for asset managers, dealers and their advisors in the mutual fund […]
Read More
This week’s IE article on CRM2 fostering stronger client relationships is a rare and welcome view on the regulation. Now that CRM2 is a reality, why not make the fee disclosure conversation a positive one with your clients? The article encourages the use of technology to share valuable information with your clients and we couldn’t agree […]
Read More
