Compliance as a Business Enabler: Transforming Oversight into Opportunity

Webinar: July 17 at 1PM ET In a landscape shaped by regulatory uncertainty and shifting priorities, compliance is no longer a static function. From changing interpretations of Reg BI to fluctuating enforcement patterns across administrations, today’s compliance and supervision leaders are navigating a moving target. This environment calls for a more strategic approach – one [...] Read More

From Errand to Enabler: Compliance Is Now a Strategic Business Decision

In a rapidly evolving regulatory landscape, wealth management firms can no longer treat compliance as a mere legal obligation. Once confined to the back office, compliance is now front and center in shaping how firms grow, serve clients, and build trust. The Industry Shift: From Risk Avoidance to Strategic Advantage For years, compliance programs were [...] Read More

Leading Through Uncertainty: What’s Top of Mind for Today’s Wealth Leaders

InvestorCOM Roundtable Summary: Discover how senior wealth executives are turning uncertainty into opportunity. In a rapidly shifting regulatory environment, today’s wealth and compliance leaders aren’t just reacting to change — they’re driving it. This exclusive summary, based on a peer-led conversation captures key insights from across the wealth industry. What’s inside: How CCOs are navigating [...] Read More

IRA Rollover Opportunity in Wealth Management

Unlock the $1.3 Trillion Opportunity in IRA Rollovers: Drive Asset Growth. Simplify Compliance. Empower Advisors. With over 10 million rollovers expected to move $1.3 trillion in assets by 2025, the IRA rollover market presents a massive growth opportunity for wealth firms. But without the right tools, it’s also a source of friction, delay, and compliance risk. [...] Read More

The Best Interest Era: What Every Firm Needs to Know

For too long, "best interest" has been a phrase that sounded good in policy manuals but lacked operational teeth. That era is now over. What began as a principles-based initiative under Reg BI has matured into an enforcement framework – one where regulators are no longer looking for internal policies. They’re looking for proof. Increasingly, [...] Read More

Half a Decade of Reg BI: Progress Made, Gaps Remain 

As we mark the fifth anniversary of the SEC’s Regulation Best Interest (Reg BI), it’s evident that while strides have been made, the journey toward full clarity and compliance continues. Insights from the 2025 FINRA Annual Conference and recent industry analyses highlight ongoing challenges and opportunities in the Reg BI landscape.   Persistent Ambiguities in Compliance  […]

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The Compliance Burden Holding Financial Advisors Back – And How to Fix It

For decades, financial professionals have walked a regulatory tightrope – balancing growth, client relationships, and ever-changing compliance standards. The pressure has only increased in recent years, especially in the high-stakes world of rollover recommendations. Advisors must not only provide sound financial advice but also document, justify, and be ready to defend every decision to regulators. [...] Read More

Prove Rollover Compliance with Confidence

The SEC’s scrutiny is rising, and wealth firms can no longer rely on manual processes, fragmented data, and inconsistent documentation. It's time for a smarter solution. Download our guide to discover how you can: Eliminate manual documentation and reduce regulatory risk Leverage guided workflows to streamline rollover recommendations Improve advisor-client interactions with dynamic data collection [...] Read More

Compare Reasonably Available Alternatives with Confidence

The SEC’s scrutiny is rising, and wealth firms can no longer rely on manual processes, fragmented data, and inconsistent documentation. It's time for a smarter solution. Download our guide to discover how you can: Find reasonably available alternatives Compare reasonably available alternatives with due diligence Enhance efficiency and compliance through automated documentation Deliver and track [...] Read More

Make Account Type Recommendations with Confidence

The SEC’s scrutiny is rising, and wealth firms can no longer rely on manual processes, fragmented data, and inconsistent documentation. It's time for a smarter solution. Download our guide to discover how you can: Assess account type appropriateness Capture investor interest and generate structured, audit-ready reports Document rationale and centralize record-keeping Deliver and track disclosures [...] Read More