Industry Roundtable: Key Takeaways on DOL’s Fiduciary Rule

In a landscape shifting towards greater investor protection, recent regulatory changes are reshaping the responsibilities of financial advisors and wealth firms. The DOL’s Final Fiduciary Rule, also known as the Retirement Security Rule, is seen as another step in this direction.  InvestorCOM hosted an executive roundtable on June 12, where industry leaders and insiders shared […]

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DOL Fiduciary Rule: Practical Implications

Webinar: June 25, 2024 This is the second webinar of InvestorCOM's 3-part series on the DOL rule. The first in the series provided a high-level overview of the Retirement Security Rule with a panel of experts. This webinar will focus on the revisions to PTE 2020-02 and how firms can align with the new version [...] Read More

InvestorCOM Named a Finalist for the 2024 Industry Awards

InvestorCOM’s AccountCompare Solution has been nominated in the best Compliance Technology Provider category. Toronto, ON, Jun 07, 2024 – InvestorCOM, a leading compliance software provider to the wealth management industry, today announced that it was named as a finalist for the best Compliance Technology Provider in the 2024 Industry Awards. InvestorCOM’s innovations behind AccountCompare, and [...] Read More

FINRA Annual Conference – Reg BI Déjà Vu 

The FINRA Annual Conference once again proved to be an exciting opportunity to reconnect with the compliance community and InvestorCOM clients. This year’s event was marked by in-depth discussions on the evolving regulatory landscape, with a particular focus on Regulation Best Interest (Reg BI) and the Department of Labor (DOL) Fiduciary Rules. The consensus among […]

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Compliant Rollovers are a Primary Channel for Growth

2024 Rollover Report  It is no secret that rollovers from employer-sponsored plans are one of the greatest sources of assets flowing into retirement accounts, presenting a leading growth opportunity for wealth management firms and advisors. IRA rollovers are forecasted to exceed $760 billion annually in the next five years, and between 2016 to 2021, $2.9 [...] Read More

Decode the New DOL Rule: Strategic Implications for Your Firm

On-Demand Webinar  The Department of Labor (DOL) has released its latest fiduciary rule, signaling significant strategic implications for firms across the financial sector. As firms navigate this new regulatory landscape, understanding the rule's nuances and operational impacts is crucial. Watch InvestorCOM's webinar focused entirely on helping you understand the New DOL Rule and its strategic [...] Read More

Navigating Reg BI: The Top 3 Insights from SIFMA C&L Annual Seminar

As conference season kicks off, the InvestorCOM team recently had the opportunity to participate in the SIFMA C&L Conference, a pivotal event in the financial industry. Amidst discussions on the evolving landscape of regulatory compliance, particularly in the wake of Regulation Best Interest (Reg BI), there were remarkable insights and new concepts unveiled that are […]

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InvestorCOM Elevates Parham Nasseri to President

InvestorCOM is proud to announce the appointment of Parham Nasseri to President effective immediately.  Over the last four years, Parham has taken on increasing responsibility and driven outstanding results.  In his new role, Parham is responsible for Regulatory Strategy, Marketing, Product Management/Development and Customer Success. Several of Parham’s achievements over the last four years include […]

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Navigating CIRO Exam Priorities and Focus Areas

On-Demand Webinar >>> On March 12, 2024, the Canadian Investment Regulatory Organization (CIRO) revealed its exam priorities for the year. These priorities shed light on the focus areas for upcoming exams across all dealers, particularly emphasizing the second phase of the client-focused reforms (CFRs).   In collaboration with the Canadian Securities Administrators, CIRO’s examinations will delve [...] Read More

Reg BI Case Studies: Assessing Reasonably Available Alternatives

On-Demand Webinar >>> FINRA and the SEC have underscored their focus on firms' adherence to Regulation Best Interest (Reg BI), with an emphasis on the care obligation that requires firms to evaluate reasonably available alternatives (RAA). Facing more intense scrutiny than ever before, firms must evaluate their compliance processes when it comes to the care obligation.  [...] Read More