InvestorCOM Introduces Account Recommendation Application to Wealth Compliance Platform

InvestorCOM Introduces Account Recommendation Application to Wealth Compliance Platform

InvestorCOM AccountCompare ensures account type recommendations are in the investor’s best interest, fully documented and aligned with the firm’s policies. Toronto, ON, December 1, 2022 – InvestorCOM, a leading wealth compliance software provider, today announced that its powerful compliance platform now features an account analysis application to help financial professionals ensure the account type is […]

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The Bridge to a Hybrid Advisor

The Bridge to a Hybrid Advisor

Despite the early threat of robo-advice disrupting the wealth industry, experts now align on the notion that technology will not displace the wealth advisor. The emergence of a hybrid model combining leading-edge digital capabilities with human empathy, expertise and advice is now considered to be the winning model for wealth leadership. The ideal end state […]

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Estancia Capital Partners Announces Strategic Investment in InvestorCOM

Estancia Capital Partners Announces Strategic Investment in InvestorCOM

TORONTO, November 29, 2022 — Estancia Capital Partners announced today they completed a significant investment in InvestorCOM, a leading provider of software and tech-enabled compliance solutions to the asset and wealth management industry. The investment is intended to accelerate InvestorCOM’s continued expansion across North America and globally. “We are excited to partner with Estancia on this […]

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InvestorCOM Wins Top Regional Employer Award for the 5th Year in a Row

InvestorCOM Wins Top Regional Employer Award

For the fifth year in a row, InvestorCOM wins 2023 Hamilton-Niagara Top Employers Award Toronto, ON, November 24, 2022 – InvestorCOM, the leading provider of regulatory compliance software and communications solutions for the financial services industry, today announced the company has been named one of Hamilton-Niagara’s Top Employers for 2023. The Hamilton-Niagara Top Employers awards […]

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Webinar Q&A

Q&A: DOL’s Fiduciary and Retrospective Review Expectations

InvestorCOM’s webinars provide an excellent forum in which to learn about the latest regulatory requirements from industry experts. Our November 1 webinar, “DOL’s Fiduciary and Retrospective Review Expectations”, featured industry experts from DFPG Investments, Katten, Faegre Drinker and Oyster Consulting. Unfortunately, we ran out of time before the speakers could address every question from the […]

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Measuring the Impact of Reg BI

Measuring the Impact of Reg BI’s Best Interest Requirement

Since coming into force on June 30, 2020, broker-dealers have struggled to define and demonstrate how Reg BI’s Care Obligation assessment of reasonably available alternatives (RAA) is improving client outcomes. With a couple of years of data available, InvestorCOM conducted an analysis to understand if best interest can be measured, and more importantly if it […]

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Regulation Best Interest Case Studies

Webinar: December 15, 2022 at 1 pm ET  >>  FINRA and the Securities and Exchange Commission (SEC) brought their first Regulation Best Interest (Reg BI) enforcements this fall and have stated that they will be zeroing in on firms that don’t address and mitigate conflicts of interest and ensure all-in investment costs are reasonable for [...] Read More
PTE 2020-02 Recap and What We’ve Learned to Date

PTE 2020-02: Recap and What We’ve Learned to Date

InvestorCOM recently chatted with David Porteous from Faegre Drinker, Mitchel C. Pahl from Katten, Craig Watanabe from DFPG Investments, and Ed Wegener from Oyster Consulting LLC to discuss the PTE 2020-02 retrospective review process, how to meet the retrospective review requirements, and how the DOL’s requirements correlate with the SEC’s expectations.  —  Parham Nasseri [PN]: […]

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PTE 2020-02 Retrospective Reviews

PTE 2020-02 Retrospective Reviews

Requirements of PTE 2020-02 To provide perspective on the annual retrospective review for exemptive relief under PTE 2020-02 (“the exemption”), it is helpful for context to review a summary of all the sections of the exemption: Impartial Conduct Standards Best Interest Reasonable Compensation Best Execution No Misleading Statement Disclosure Policies and Procedures Annual Retrospective Review […]

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ComplyConnect Conference & Expo

ComplyConnect Conference & Expo

November 8 – 10, 2022 | Austin, TX InvestorCOM is pleased to be participating at the ComplyConnect Conference & Expo taking place at the Omni Barton Creek Resort & Spa in Austin, Texas. This event provides a unique opportunity for compliance professionals to learn, connect and engage with peers and industry leaders.   Attend a […]

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