InvestorCOM Wins 2023 WealthTech Americas Award for Innovative Compliance RegTech Product
InvestorCOM’s innovative technology helps financial professionals assess, document and disclose best interest investment and rollover recommendations. Toronto, ON, February 23, 2023 – InvestorCOM, a leading regulatory software provider to […]
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How to Simplify the Best Interest Recommendations Requirement
Since 2020, North American regulators have required financial professionals to assess costs and reasonably available alternatives when making best interest recommendations. During this time, InvestorCOM has helped thousands of financial […]
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2023: SEC & FINRA’s Focus on Reg BI’s Care Obligation
2023: The Year of Reg BI’s Care Obligation
Regulation Best Interest (Reg BI) came into effect on June 30, 2020. Since then, FINRA and the SEC’s Division of Examinations have been reviewing firms’ implementation and compliance practices throughout […]
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How to Determine Reasonably Available Alternatives
The Securities and Exchange Commission’s Best Interest Rule includes several mentions of the requirements and allowances for determining which investment products are considered reasonably available alternatives under Regulation Best Interest’s […]
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SIFMA C&L Annual Seminar 2023
Meet InvestorCOM at the SIFMA C&L Annual Seminar 2023 on March 12-15 2023 in San Diego. SIFMA’s C&L Annual Seminar is the preeminent meeting place for compliance and legal professionals […]
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The Challenge of Implementing and Adopting Compliance Technology
2022: A Year of Growth and Transformation
As 2022 draws to a close, it’s a wonderful time to reflect on key milestones in our company’s journey and share our plans for the path ahead in 2023. A […]
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Regulatory Compliance: How Manual Processes Impact the Home Office
A wealth industry poll taken by InvestorCOM on December 15, 2022, indicated that 63-73% of respondents have manual-based processes in place for making best interest recommendations for investment products (70%), […]
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