Why Rollovers Are Increasing by 2.5X
It is no secret that rollovers from employer-sponsored plans are one of the greatest sources of assets flowing into retirement accounts, and a leading growth opportunity for advisors. A study by LIMRA’s Secure Retirement Institute found that IRA rollovers are expected to grow to more than $760 billion annually over the next five years. Moreover, Cerulli’s 2022 […]
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SEC Staff Bulletin: Reasonably Available Alternatives, Costs & Documentation
Richard L Chen and Issa Hanna from Eversheds Sutherland met with InvestorCOM to discuss the SEC’s Guidance around assessing reasonably available alternatives, the consideration of costs, and whether firms need to document the evaluation of reasonably available alternatives. == Parham Nasseri [PN]: Richard, there is a specific call out in the Staff Bulletin: Standards of […]
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CSA/CIRO Notice on Firms’ Conflicts of Interest Practices
The Canadian Securities Administrators (CSA) and the Canadian Investment Regulatory Organization (CIRO) published a joint Staff Notice (31-363) on August 3, 2023 summarizing their review of firms’ Conflicts of Interest practices as it relates to the Client Focused Reforms. Of the 172 firms the CSA, IIROC and the MFDA reviewed, no deficiencies relating to conflicts […]
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SIFMA C&L Regional Seminar NYC
SIFMA C&L Regional Seminar Charlotte
SIFMA C&L Regional Seminars gather compliance and legal professionals working in the financial services industry to share best practices and guidance in the increasingly complex and changing regulatory and compliance arenas. Ritz-Carlton, Charlotte, NC | September 11, 2023 Learn more and register. Meet Randy Barnes, Director of Product and Sales Engineering
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ComplyConnect Conference & Expo
Education. Training. Industry insight. It all comes together at the COMPLYConnect Conference and Expo. Take a front row seat to the latest news and trends shaping compliance, risk and governance, and hear direct from renowned industry leaders and regulatory authorities as they discuss the future of compliance and regulation. Experience unparalleled access to the resources […]
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Fearless Investing Summit
Hosted by Nitrogen, the makers of Riskalyze, join 1,000+ wealth management professionals this fall at the #1 resort in Florida for three days of learning, connection, and growth. The Fearless Investing Summit is where financial advisors network with the fastest-growing firms in the country, learn how to scale their business, and join a community empowering […]
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NSCP 2023
Meet InvestorCOM at the 2023 NSCP National Conference, on Oct 16-18 2023 at the Omni Dallas in Dallas, TX. The only conference that’s “For Compliance, By Compliance.” Meet Bill Donnell, VP Sales – Book now Meet Randy Barnes, Director of Product and Sales Engineering Meet Parham Nasseri, VP of Product and Regulatory Strategy – Book […]
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Nitrogen and InvestorCOM Integration Delivers Best Interest Rollover Recommendations Process
New integration enables firms and financial professionals to meet Reg BI and PTE 2020-02 rollover obligations and grow their businesses AUBURN, CA – JULY 18, 2023 – Nitrogen, the company that is revolutionizing how financial advisors and wealth management firms grow their firms, today announced its integration with InvestorCOM, a leading regulatory compliance software […]
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