Prove Rollover Compliance with Confidence

White Papers
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
New InvestorCOM RolloverAnalyzer

InvestorCOM Launches the New RolloverAnalyzer to Enhance Compliance and Drive Rollover Asset Growth

News
InvestorCOM, a leading provider of regulatory compliance software for wealth and asset managers, is proud to announce the release of the New RolloverAnalyzer™, the next-generation solution designed to help financial professionals meet the regulatory requirements of Regulation Best Interest (Reg BI) and PTE 2020-02 while enhancing the efficiency and growth of rollover transactions.  Building on [...] Read More

Prove Best Interest Compliance with Confidence

White Papers
A Digital Playbook for Passing Audits and Exams The SEC’s 2025 exam priorities are clear: Proving best interest compliance is no longer optional. You’ve built the policies—but can you prove they’re being followed? Manual processes, fragmented data, and inconsistent documentation still plague many firms. This guide breaks down how leading wealth firms are leveraging automation [...] Read More

On Demand Webinar: FINRA, SEC and the Best Interest Crackdown: Are You Prepared?

Resources
Five years into the best interest journey, enforcement activity is picking up and shedding much needed light on the regulatory expectations across the investment advisory and broker dealer arena. The latest wave of fines and sanctions around account type recommendations and clone ETFs highlight the growing pressure on wealth firms and professionals to consider the [...] Read More
InvestorCOM Logo

InvestorCOM Wins 2025 FinTech Breakthrough RegTech Innovation Award

News

[Toronto, ON, March 19, 2025] InvestorCOM, a leading provider of regulatory compliance technology for the wealth management industry, has been recognized as a winner in the 2025 FinTech Breakthrough Awards, taking home the prestigious “RegTech Innovation Award.” This marks another milestone for InvestorCOM, reaffirming the company’s position as an industry leader in regulatory technology. The […]

Read More

FINRA, SEC and the Best Interest Crackdown: Are You Prepared?

Events
Five years into the best interest journey, enforcement activity is picking up and shedding much needed light on the regulatory expectations across the investment advisory and broker dealer arena. The latest wave of fines and sanctions around account type recommendations and clone ETFs highlight the growing pressure on wealth firms and professionals to consider the [...] Read More

As SEC Throttles Enforcement, States Finalize Their Own Advisor Standards

Blog

by Tracey Longo   As the Securities and Exchange Commission pumps the brakes on securities enforcement, the North American Securities Administrators Association is preparing to roll out a regulatory standard of its own to help states better protect investors from financial advisors with conflicts of interest, an NASAA official said in an interview today. In […]

Read More

[Infographic] The Fiduciary Rule Rollercoaster: Compliance Strategies for 2025

White Papers
The fiduciary rule continues to be a shifting regulatory challenge for financial professionals, with new developments under the Trump administration adding further complexity. The ongoing uncertainty emphasizes the need for firms to stay proactive, prepare for multiple compliance scenarios, and leverage technology for efficient oversight. Download our latest infographic to explore key compliance strategies that [...] Read More

The Fiduciary Rule Rollercoaster: Compliance Strategies for 2025

Blog
The fiduciary rule has remained a source of regulatory uncertainty for financial professionals, with recent developments adding further complexity. In a significant turn, the Trump administration has requested a pause in ongoing appeals related to the Department of Labor’s (DOL) fiduciary rule, further complicating the landscape for wealth and asset managers seeking clarity on compliance [...] Read More

Supercharge Your Practice with Growthtech

Blog
By David Reeve  Client-facing technology plays a vital role in achieving organic growth Wealth firms consider organic growth the most important metric heading into 2025, according to Schwab’s RIA benchmarking survey. Despite this goal, organic growth has languished in the low single digital rates in recent years, driven by several factors including the decumulation of [...] Read More