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 […]
Read More
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 […]
Read More
On March 12, 2024, the Canadian Investment Regulatory Organization (CIRO) published their exam priorities for the year and what the areas of focus will be during upcoming exams for all dealers. This year’s exams of both mutual fund and investment dealers will include a focus on the second phase of the client focused reforms (CFRs). […]
Read More
InvestorCOM’s innovative technology secures its second WealthTech Americas Award win in two years for helping financial professionals assess, document and disclose best interest investment and rollover recommendations. Toronto, ON, February 22, 2024 – InvestorCOM, a leading regulatory software provider to the wealth management industry, today announced that its compliance platform was named the winner of […]
Read More
Learn key insights from regulatory and compliance leaders as they discuss the industry outlook and expectations from the SEC in 2024.
Read More
Gain valuable first-hand insights into the 2024 exam priorities and findings discussed at the recent SIFMA C&L Regional Conference in New York City from InvestorCOM’s VP of Sales, Bill Donnell.
Read More
AccountCompare ensures the rationale for account recommendations are in the investor’s best interest, digitally documented and aligned with the firm’s policies. Toronto, ON, January 30, 2024 – 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 […]
Read More
InvestorCOM’s Peer Rating metric was developed to simplify the process of comparing Reasonably Available Alternatives (RAA) for investment product selection, supporting the SEC’s Reg BI Care Obligation and the Client Focused Reforms in Canada. Peer Ratings are an integral feature within the PeerCompareTM and ShelfAnalyzerTM compliance applications. Regulatory Expectations Regulators expect financial professionals to consider […]
Read More
